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SEC Denies Requests to Alter More Texting Settlements
News June 27, 2025 at 11:06 AM
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What You Need To Know
- Perella Weinberg Partners and Kroll Bond Rating Agency asked the SEC to give it a deal similar to settlements that were agreed to later.
- Other firms, including LPL and Raymond James, have filed similar requests and been denied.
- Settlement deals made before 2025 contained heightened FINRA supervision requirements that triggered heavy compliance burdens.
- FINRA said it would work with the SEC to "modify" the "collateral consequences" of those settlements.
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