To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
During the time period that NMIS failed to maintain and preserve off-channel communications that its personnel sent and received related to NMIS’s broker-dealer business, NMIS received and responded to Commission subpoenas for documents and/or records requests in several Commission investigations. As a result, NMIS’s recordkeeping failures likely impacted the Commission’s ability to carry out its regulatory functions and investigate violations of the federal securities laws across these investigations.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
Copyright PEI Media
Not for publication, email or dissemination