R. Stephen Stigall

R. Stephen Stigall

Ballard Spahr LLP

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The SEC’s Recent Personal Device Settlements Shed Light on the Question of Self-Reporting

Summary - Two more broker-dealers became the latest financial institutions to settle with the SEC for failing to maintain and preserve electronic communications. What distinguishes these settlements from the 17 prior...more

5/16/2023  /  Broker-Dealer , Disclosure Requirements , Enforcement Actions , Investment Adviser , Securities and Exchange Commission (SEC) , Self-Reporting
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