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Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.
May 23
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In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.
May 16
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Three firms have fired the broker, whose former clients have won $494,000 in settlements.
May 3
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Caution to advisers: If you cop a deal with the SEC for leniency, be sure to hold up your end of the bargain.
March 2
