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SEC Slams LPL, Raymond James & 24 Other Firms With $393M in Off-Channel Messaging Fines
News August 14, 2024 at 05:30 PM
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What You Need To Know
- The latest salvo in the regulator's crackdown on unauthorized texting and messaging app use has hit RIAs, BDs and dually registered firms.
- The SEC has levied more than $3 billion in fines in its off-channel communications sweep.
- Firms that self-reported received smaller penalties.
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