US SEC Says 16 Firms Fined More Than $81 Million for Recordkeeping Failures

Reuters

WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission on Friday said 16 firms will pay more than $81 million to settle charges for widespread recordkeeping failures. The agency announced the civil penalties against five broker-dealers, seven dual registered broker-dealers and investment ...

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US SEC Says 16 Firms Fined More Than $81 Million for Recordkeeping Failures

What is Blockchain? Demystifying the ledger that could reshape the world

Why HIPAA Compliance Is Both a Challenge and Opportunity for EMS Providers

From Instagram to bank accounts: 16 billion passwords leaked in silent cyber breach, govt issues advisory

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