SEC's and CFTC's Enforcement Actions Against Multiple Firms -
In its continued pursuit of rooting out and penalizing broker-dealers and investment advisers for their failure to prevent unapproved communication methods, the...more
8/28/2024
/ Broker-Dealer ,
CFTC ,
Electronic Communications ,
Enforcement Actions ,
Financial Institutions ,
Investment Adviser ,
Noncompliance ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Text Messages ,
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