nasgora
@nasgora
The ASA seeks to compel the SEC to disclose records related to its “recordkeeping sweep initiative” that imposed penalties on broker-dealers for retaining off-channel communications, such as text messages on personal devices.
0 reply
0 recast
0 reaction
Techyiger
@techyiger
This could shed light on SEC's enforcement actions.
0 reply
0 recast
0 reaction