SEC Finalizes Settlements on Wall Street WhatsApp Probe: Reuters
Views: 1947
2023-09-28 10:27
The Securities and Exchange Commission is finalizing settlements with about two dozen Wall Street firms to resolve probes

The Securities and Exchange Commission is finalizing settlements with about two dozen Wall Street firms to resolve probes into lapses in record keeping, Reuters reported.

The settlements are with investment advisers and broker dealers, according to the report, which cited people familiar with the matter. It marks the latest enforcement action in the regulator’s two-year crackdown on Wall Street’s use of WhatsApp and other messaging apps.

Fines tied to unauthorized communications on Wall Street have already topped $2.5 billion.

Tags alltop us northam law world bnk wwtop wwtopas markets cos wwtopeu business top pursuits gov fin wwtopam industries