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3232American Securities Association Sues SEC Over Lack of Transparency in Enforcement Actions
https://www.digit.info/american-securities-association-sues-sec-over-lack-of-transparency-in-enforcement-actions/
Fri, 07 Jun 2024 13:31:11 +0000https://www.digit.info/2024/06/07/american-securities-association-sues-sec-over-lack-of-transparency-in-enforcement-actions/Read more]]>The American Securities Association (ASA) filed a lawsuit against the U.S. Securities and Exchange Commission (SEC) on Thursday for failing to comply with the Freedom of Information Act (FOIA). The ASA seeks to compel the SEC to disclose records related to its “recordkeeping sweep initiative” that imposed penalties on broker-dealers for retaining off-channel communications, such […]
The American Securities Association (ASA) filed a lawsuit against the U.S. Securities and Exchange Commission (SEC) on Thursday for failing to comply with the Freedom of Information Act (FOIA). The ASA seeks to compel the SEC to disclose records related to its “recordkeeping sweep initiative” that imposed penalties on broker-dealers for retaining off-channel communications, such […]
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