PD21191817_CREDIT-_1958328b

Credit Suisse pays $4.25 million for “blue sheet” compliance gaps

Credit Suisse Securities (USA) LLC agreed Monday to pay $4.25 million for submitting deficient information to the SEC over a two-year period about trades by customers, commonly referred to as “blue sheet data.” The New York-headquartered firm admitted violating the recordkeeping and reporting provisions of the federal securities laws. The...

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