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Browse: Home / 2011 / October / 28 / SEC accuses FINRA of altering internal documents

SEC accuses FINRA of altering internal documents

By Securities Docket on October 28, 2011, 11:10 am

The U.S. Securities and Exchange Commission scolded the self-policing brokerage industry group FINRA on Thursday for allegedly doctoring internal documents before handing them over to examiners. The SEC said a regional office of the Financial Industry Regulatory Authority in 2008 altered staff meeting documents just hours before handing them over to SEC inspection staff.

Read more: SEC accuses FINRA of altering internal documents — Reuters

Posted in Industry, SEC, Top | Tagged Documents, Regulators

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