Point72 Asset Management said it took a 5.1% passive stake in RCS, which operates broker-dealers, in a Nov. 14 regulatory filing.
RCS said its in contact with the SEC and FINRA as part of its regular operations. The company and its subsidiaries have continued to respond to on-going verbal inquiries, requests for correspondence, information and discussions with regulators, including with respect to the ARCP disclosure, RCS said in a quarterly report filed with regulators Nov. 14.
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