The American Securities Affiliation (ASA) filed a lawsuit towards the U.S. Securities and Trade Fee (SEC) on Thursday for failing to adjust to the Freedom of Data Act (FOIA). The ASA seeks to compel the SEC to reveal information associated to its “recordkeeping sweep initiative” that imposed penalties on broker-dealers for retaining off-channel communications, such […]
American Securities Affiliation Sues SEC Over Lack of Transparency in Enforcement Actions
Posted on by pronewsblog.com
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