SEC charges 10 broker-dealers over record-keeping failures

9th August, 2023

Sophia Thomson
US SEC GIG

The US securities regulator said the firms acknowledged they violated record-keeping provisions of federal securities laws, agreeing to pay combined penalties of $289 million

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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP
ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP
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