U.S. Securities and Exchange Commission seal in Washington. Photo: Diego M. Radzinschi/ALM Financial Services Group Sues SEC, Seeks Disclosure of Agency's Enforcement Procedures
The agency has denied the request for documents, saying they are exempt from the Freedom of Information Act because their disclosure "could reasonably be expected to interfere with enforcement proceedings."
June 07, 2024 at 05:31 PM
3 minute read
Regulation
A financial services industry group has sued the U.S. Securities and Exchange Commission in an effort to compel disclosure of the agency's enforcement procedures related to its investigation of communications by investment advisers on their personal devices.
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