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Quarter of SEC Actions Dealt With Off-Channel Communications in 2024: Report
News November 21, 2024 at 08:44 PM
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What You Need To Know
- Broker-dealer cases, largely tied to the off-channel communications sweep, made up 29% of actions.
- The SEC brought more cases leading to admissions of guilt than in prior years.
- The average monetary settlement for defendants in fiscal 2024 was $19.8 million.
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