Home Compliance SEC’s Closing Message To Broker-Dealers and Investment Advisors: A Mea Culpa Could... ComplianceExpert OpinionNews SEC’s Closing Message To Broker-Dealers and Investment Advisors: A Mea Culpa Could Save You Millions In Recordkeeping Fines October 6, 2023 20 Share FacebookLinkedinTwitter Tero Vesalainen | Shutterstock You must be a Paid or Free Trial Member to Access this Content. Paid members, please login to view your news subscription(s). RELATED ARTICLESMORE FROM AUTHOR Compliance Scope and Impact of the FTC’s Non-Compete Rule for Employers Compliance CISA Unveils Final Self-Attestation Form for Software Producers Bidding on Federal Contracts Compliance The Maryland Online Data Privacy Act Set to Reshape the State Privacy Legislation Landscape with Stringent Requirements