On January 13, 2025, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against twelve firms for recordkeeping ...

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The Securities and Exchange Commission has announced another big batch of fines against multiple registered investment ...

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Charles Schwab, KKR, Blackstone, Apollo and Carlyle are among a group of investment advisory and brokerage firms that were caught letting their employees use off-channel communications like What ...

On January 13, 2025, one week before Chair Gary Gensler is expected to step down as Chair, the Securities and Exchange Commission (“SEC”) ...