Recordkeeping violations cost dual registrant $2.9m

CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current certain books and records

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.