SEC Keeps Tabs on Shady Securities Players with Paperwork Extension
Published Date: 3/6/2025
Notice
Summary
The SEC wants to keep collecting info from self-regulatory groups about people with serious misconduct who want to join or stay in the securities business. Only one group usually files, with about 40 submissions a year, each taking lots of time to prepare. The SEC is asking for comments before extending this paperwork requirement, which helps protect investors and keeps the market safe.
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