SEC Reg SHO Rule 200
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FINRA disciplinary action update 2024/18
Disciplinary decisions issued May 4 – 10, 2024.
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Goldman Sachs and Citadel Securities settle SEC recordkeeping charges
SEC repeats its warnings to firms about the importance of record retention.
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FINRA disciplinary action update #19
Disciplinary decisions issued June 23 – June 29, 2023.
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FINRA disciplinary action update #7
Disciplinary decisions issued March 31 – April 6, 2023.
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FINRA disciplinary action update #3
Disciplinary decisions issued March 3 – 9, 2023.