SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses

SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses

Aug 29, 2023

The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. (CGMI) for willfully violating recordkeeping requirements concerning expenses that the firm incurred in…

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