LEX-WK-XJ4ETJ3Mcrawled 2023-08-11 08:49Z
Regulatory Scrutiny of “Off-Channel” Communications Continues: 11 Wall Street Firms Agree to Pay the SEC $289 Million in Civil Money Penalties for Recordkeeping Violations
Brooke Conner · Jason Sobelman · Federal Regulatory & Enforcement Insider · Published August 11, 2023
Work details
- author
- Brooke Conner · Jason Sobelman
- firm or organization
- Vedder Price PC
- publication
- Federal Regulatory & Enforcement Insider
- practice area
- Banking, Finance and Securities
- published
- 2023-08-11
Citation
Brooke Conner, Jason Sobelman, Regulatory Scrutiny of “Off-Channel” Communications Continues: 11 Wall Street Firms Agree to Pay the SEC $289 Million in Civil Money Penalties for Recordkeeping Violations, Federal Regulatory & Enforcement Insider (August 11, 2023) [The Library at LexBlog, LEX-WK-XJ4ETJ3M, lexpid.org/XJ4ETJ3M]