State Street On The Hot Seat, Receives Wells Notice – ValueWalk Premium
State Street

State Street On The Hot Seat, Receives Wells Notice

State Street Corp. received some bad news from the U.S. Securities and Exchange Commission, receiving a Wells notice regarding its solicitation of business in the public pension plan domain.


State Street: Wells notice investigation said to center on use of lobbyists
The SEC is investigating how State Street used lobbyists and consultants to influence the decision making process, a growing focus of SEC enforcement actions.  Federal rules prohibit an asset . . .

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