{"id":821,"date":"2024-08-09T13:32:00","date_gmt":"2024-08-09T13:32:00","guid":{"rendered":"http:\/\/av-forums.net\/?p=821"},"modified":"2024-08-12T11:36:15","modified_gmt":"2024-08-12T11:36:15","slug":"raymond-james-nears-sec-settlement-for-off-channel-communications","status":"publish","type":"post","link":"http:\/\/av-forums.net\/index.php\/2024\/08\/09\/raymond-james-nears-sec-settlement-for-off-channel-communications\/","title":{"rendered":"Raymond James Nears SEC Settlement for Off-Channel Communications"},"content":{"rendered":"<p>According to the firm\u2019s two recent quarterly filings, Raymond James has reached \u201ca settlement in principle\u201d with the commission\u2019s Enforcement Division, including a $50 million fine.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>According to the firm\u2019s two recent quarterly filings, Raymond James has reached \u201ca settlement in principle\u201d with the commission\u2019s Enforcement Division, including a $50 million fine.<\/p>\n","protected":false},"author":1,"featured_media":823,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[13],"tags":[],"_links":{"self":[{"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/posts\/821"}],"collection":[{"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/comments?post=821"}],"version-history":[{"count":1,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/posts\/821\/revisions"}],"predecessor-version":[{"id":822,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/posts\/821\/revisions\/822"}],"wp:featuredmedia":[{"embeddable":true,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/media\/823"}],"wp:attachment":[{"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/media?parent=821"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/categories?post=821"},{"taxonomy":"post_tag","embeddable":true,"href":"http:\/\/av-forums.net\/index.php\/wp-json\/wp\/v2\/tags?post=821"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}