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70 News Results
November 17, 2023

A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.

September 29, 2023

Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.