SEC Rule 204-2(a)(7) – Global Relay Intelligence & Practice

SEC Rule 204-2(a)(7)

Enforcement

Atom Investors dinged for ecomms recordkeeping lapses, but no fine imposed

September 24, 2024

The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.

Julie DiMauro3 min read