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 18 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 CFIUS Update: Larger Penalties, Sharper Monitoring Cyber Distributed Denial of Service (DDoS) Mitigation: What Nonprofits Need to Know Compliance Money Makes the Compliance Go Around