Welcome to SEC Roundup, a bimonthly video sequence by former Securities and Change Fee senior trial…
Tag: texting
16 Greatest Fines in SEC’s Texting Crackdown
Begin Slideshow The Securities and Trade Fee “has been making waves with its off-channel communications sweep…
SEC Hit With Lawsuit Over Texting Sweep
What You Must Know ASA is suing underneath FOIA to get the SEC to supply paperwork…
FINRA Hits BD With $500k High-quality Over Texting
What You Have to Know FINRA levied a $500,000 superb in opposition to Dawson James and…
SEC Hits RIA With $6.5M Texting Superb
Based on the order, from at the least January 2019 via December 2021, Senvest workers at…
SEC’s Texting Crackdown Rages On, With RIAs Probably Subsequent
What You Must Know Regulators have levied greater than $3 billion in fines over unauthorized use…
Cambridge, Northwestern Mutual Amongst 16 Companies Hit With Texting Fines From SEC
The Securities and Alternate Fee mentioned Friday that it has charged 5 broker-dealers, seven dually registered…
Reaching extra shoppers by texting – Teleinterview texting program
As we speak, private historical past interviews are accomplished when the Name Heart interviewers dial an…