Will affect tonight market?_老虎社区_美港股上老虎

Spooky
2021-07-27

Will affect tonight market?

U.S. SEC charges 27 firms for failing to file key disclosure forms

WASHINGTON, July 26 (Reuters) - The U.S. Securities and Exchange Commission $(SEC.UK)$ on Monday sai

U.S. SEC charges 27 firms for failing to file key disclosure forms

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The paperwork is used to notify retail investors of conflicts of interest and other information that is significant for investors to decide whether to work with a financial firm.</p>\n<p>None of the firms filed or delivered the forms until being reminded twice by regulators, the SEC said in a statement</p>\n<p>\"Registration with the SEC as an investment adviser or broker-dealer comes with mandated filing and disclosure obligations,\" it said.</p>\n<p>The cases underscored the importance of \"providing retail investors with information that is intended to help them understand their relationships with their securities industry professionals,\" Gurbir S. 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U.S. SEC charges 27 firms for failing to file key disclosure forms

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