June 6, 2023
0311 us flagsec photo by paul weaver on unsplash 960 0

SEC fines 16 financial firms for failing to keep employee communication records

The U.S. Securities and Exchange Commission (SEC) said on Tuesday (9/27) that it had fined 15 securities firms and an investment advisory firm more than $1.1 billion for failing to keep records of employee communications related to their work. The Securities Exchange Act of 1934 and the Investment Advisers Act of 1940.

Ewen Eagle

I am the founder of Urbantechstory, a Technology based blog. where you find all kinds of trending technology, gaming news, and much more.

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