![SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses](https://lawnewstoday.b-cdn.net/wp-content/uploads/2023/08/SEC-C-2SuFIZ.jpeg)
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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