Securities quick take: Adviser resolves SEC allegations of compliance lapses | Secondary Sources | Westlaw

Securities quick take: Adviser resolves SEC allegations of compliance lapses | Secondary Sources | Westlaw

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Securities quick take: Adviser resolves SEC allegations of compliance lapses

2023 SECDBRF 0212By Conor O'Brien, Esq.WESTLAW Securities Enforcement & Litigation Daily Briefing (Approx. 2 pages)

Securities quick take: Adviser resolves SEC allegations of compliance lapses

2023 SECDBRF 0212By Conor O'Brien, Esq.WESTLAW Securities Enforcement & Litigation Daily Briefing (Approx. 2 pages)

Securities quick take: Adviser resolves SEC allegations of compliance lapses

(September 13, 2023) - Mortgage Industry Advisory Corp. has agreed to pay a $100,000 civil penalty to resolve Securities and Exchange Commission allegations that the registered investment adviser failed to fix compliance failures after the agency...
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