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SEC Hits Stifel, Others With $88M in Texting Fines
News September 24, 2024 at 09:56 AM
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What You Need To Know
- The firms included broker-dealers, RIAs and one dually registered firm.
- Stifel and Invesco will each pay $35 million.
- Qatalyst took substantial steps to comply, self-report and remediate and paid no penalty, the SEC said.
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