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Join date: Jan 22, 2024
Posts (11)
Oct 13, 2023 ∙ 1 min
SEC CRACKS DOWN ON FAILURE TO PRESERVE ELECTRONIC COMMUNICATION
The U.S. Securities and Exchange Commission (SEC) continues to focus on recordkeeping requirements. On September 29, 2023, the SEC...
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Sep 29, 2023 ∙ 1 min
SEC CHARGES 10 FIRMS WITH WIDESPREAD RECORDKEEPING FAILURES
The U.S. Securities and Exchange Commission (SEC) continues to focus on recordkeeping requirements. On September 29, 2023, the SEC...
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Sep 11, 2023 ∙ 2 min
SEC SWEEP INTO MARKETING RULE VIOLATIONS RESULTS IN CHARGES AGAINST NINE INVESTMENT ADVISERS
The U.S. Securities and Exchange Commission (SEC) continues its “ongoing sweep to ensure that investment advisers comply with the...
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Abel Ramirez
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