Loading...
Market
Which financial firm will have the highest settlement amount in the SEC texting probe by the end of 2024?
3
Resolution / Starting Odds
Firm A • 25%
Firm B • 25%
Firm C • 25%
Other • 25%
SEC announcements and settlement details
Story
Wall Street Firms to Pay Over $470 Million in SEC Texting Probe Settlement
Aug 14, 2024, 09:41 PM
Twenty-six financial firms have agreed to pay more than $470 million to settle charges with U.S. regulators, including the U.S. Securities and Exchange Commission (SEC), over widespread recordkeeping failures. The SEC alleged that these firms failed to maintain proper electronic communications among their employees. This settlement highlights ongoing regulatory scrutiny in the financial sector, particularly concerning compliance with recordkeeping requirements.
View original story
Similar markets
Hiro • 25%
Paxos • 25%
Stacks • 25%
Ethereum 2.0 • 25%
Coinbase • 25%
Kraken • 25%
Ripple • 25%
Other • 25%
Unilever • 25%
WPP • 25%
GARM • 25%
WFA • 25%
CVS Health • 25%
Mars • 25%
Orsted • 25%
GroupM • 25%
Soichiro Sato • 25%
Former TSE employee • 25%
Judge's father • 25%
None face severe penalties • 25%
Charles Schwab gains market share • 25%
Fidelity gains market share • 25%
Robinhood gains market share • 25%
Other firms gain market share • 25%
Unisys • 25%
Avaya • 25%
Check Point • 25%
Mimecast • 25%
OpenSea • 25%
Coinbase • 25%
Robinhood • 25%
Uniswap • 25%
NSE • 25%
Another stock exchange • 25%
A financial institution • 25%
Other • 25%
Binance • 25%
Coinbase • 25%
Ripple • 25%
Other • 25%
RT • 25%
Tenet Media • 25%
Trans-Atlantic Media • 25%
Other • 25%