The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1 billion in collective penalties.
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Also, Vise introduces AI-powered workflow; SEI updates portal, tools; a new report finds that API security incidents are rising in financial services and more.
Congress completes its first acquisition since CI Financial sold a minority stake to Audax, two Indiana firms merge to create $750 million AUM Wellington Wealth and a 10-person team leaves Ameriprise for OneSeven.
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