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Showing 1 - 1 of 1 results for "Subsidiary Robinhood Securities"

SEC fines private equity firms for recordkeeping failures

KARREN VERGARA  |  TUESDAY, 14 JAN 2025
... April 2019 to July 2022 and also used off-channel communications that breached recordkeeping laws. Subsidiary Robinhood Securities was also in trouble for failing to provide complete and accurate securities trading information, known as blue sheet data ...
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