US SEC slams Finra for altering documents

The delete button in computer software

The US Securities and Exchange Commission (SEC) has ordered the Financial Industry Regulatory Authority (Finra) to improve its methods for producing documents during SEC inspections, according to a cease-and-desist order issued on October 27.

The SEC has ordered Finra, an industry-funded self-regulatory body, to hire an independent consultant and take other measures to improve its policies, procedures and training, after certain documents requested as part of an investigation were altered.


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