![United States: SEC Charges 11 Firms With Record Retention Violations - K&L Gates](https://cdn.newsserve.net/ONPglobe256.png)
United States: SEC Charges 11 Firms With Record Retention Violations - K&L Gates
For over twenty months, the U.S. Securities and Exchange Commission (SEC) has steadily announced settled orders against broker-dealers and investment advisers for failure to retain business-related communication.
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