NewsIgnites: Resource Constraints Cripple Shops’ Chances at SEC Amnesty

May 16, 20180

By Jill Gregorie May 16, 2018 – Shops and their distributors are scrambling to meet the SEC’s June 12 deadline to volunteer information about instances in which they overcharged investors in exchange for amnesty from the regulator’s enforcement unit.

Delta Data Staff

Leave a Reply

Your email address will not be published. Required fields are marked *

FREE CONSULTATION

Delta Data provides the back-end solutions that companies in the mutual funds industry use to process trillions of dollars of transactions and keep on top of their data.

Copyright © Delta Data 1996-2021