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Brad Levy at Symphony and Chip Jones at Global Relay say the regulatory crackdown is ongoing and will nab individuals at senior levels and more broker-dealers.
(Editor’s note: As many firms have found out, the Securities and Exchange Commission (SEC) was serious when it announced a crackdown on the recordkeeping culture of the U.S. securities industry. Nearly 30 of the industry’s top financial services firms have been accused of violating recordkeeping rules. In fact, during the SEC’s 2023 fiscal year, 25...
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