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The SEC alleged, in part, that the broker-dealer violated securities laws by using email addresses other than those with its domain name to receive faxes containing sensitive customer information.
On April 12, the SEC instituted cease-and-desist proceedings against
a broker-dealer and two of its principals based on the
broker-dealer's "failure to adopt written policies and
procedures reasonably designed to insure the security and
confidentiality of customer records and information" and
"to make and keep certain communications relating to its
business." The SEC alleged, in part, that the broker-dealer
violated securities laws by using email addresses other than those
with its domain name to receive faxes containing sensitive customer
information.
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