Day: November 2, 2023

Brokers using off-channel communications

Reform, Not Fines: The SEC Needs a New Approach to Off-Channel Communication

GUEST BLOG POST The Securities and Exchange Commission closed out its fiscal year with an announcement of charges against 10 firms in their capacity as broker-dealers and one registered broker-dealer and investment adviser for their failure to comply with the Books and Records requirements of the Federal Securities Laws. These Read More