The Commissioners maintain that granting the waiver is inappropriate because the firm has been the target of at least 30 regulatory actions since 2005.
Estimated reading time: 0 minutes, 21 seconds
SEC Commissioners Criticize Waiver for Oppenheimer & Co.
Securities and Exchange Commissioners Kara Stein and Luis Aguilar, who are both Democrats, have lashed out at the regulator for granting brokerage firm Oppenheimer & Co. a waiver that lets the firm continue to conduct certain private capital-raising deals. So reports Reuters.
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