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US brokerages with misconduct history would be publicly named under SEC rule being considered

By Neil Roland ( August 4, 2021, 18:47 GMT | Insight) -- The US Securities and Exchange Commission will consider publicly disseminating the names of brokerages with a history of misconduct now that it has approved a rule stiffening requirements for these firms and for brokers who are repeat offenders. SEC Commissioners Allison Herren Lee and Caroline Crenshaw,  looking beyond these measures, said they also “will evaluate whether additional steps may be needed to address recidivist firms and brokers.”The US Securities and Exchange Commission will consider publicly posting the names of brokerages with  misconduct histories now that it has approved a rule stiffening requirements for these firms and for brokers who are repeat offenders....

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