SEC Institutes Fines Over E-Mail Retention

by Sabrina I. Pacifici on December 4, 2002

This SEC press release concerns the agency’s joint action (along with the NYSE and NASD) against 5 high profile broker-dealers for violations of e-mail communications retention requirements. The text of the SEC’s administrative decision is here, and the companies will collectively pay $8.25 million in fines.

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