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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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SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses

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