The U.S. Securities and Exchange Commission fined two broker-dealers a total of $4.65 million for submitting deficient blue sheet data, according to a news release. St. Louis-based Stifel, Nicolaus & ...
Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...
This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. Goldman agreed to pay a $6 million penalty to resolve the SEC's charges.
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