#stifel — Public Fediverse posts
Live and recent posts from across the Fediverse tagged #stifel, aggregated by home.social.
-
The #SEC fined 11 broker-dealers and investment advisers over $88M for failing to maintain proper electronic communication records. Firms like #Stifel and #Invesco contributed significantly to the penalties. SEC stated these failures could hinder investor protection.#Regulation
-
The #SEC fined 11 broker-dealers and investment advisers over $88M for failing to maintain proper electronic communication records. Firms like #Stifel and #Invesco contributed significantly to the penalties. SEC stated these failures could hinder investor protection.#Regulation