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Brief
The Securities and Exchange Commission (SEC) issued an order instituting administrative proceedings against Oppenheimer & Co. Inc. on February 9, 2024, under Sections 15(b) and 21C of the Securities Exchange Act of 1934. The SEC granted a one-week extension to the Division of Enforcement to respond to Oppenheimer's motion, with the new deadline set for February 13, 2025. The main purpose of this order is to provide an additional week for the Division of Enforcement to file its response to Oppenheimer's motion. This development has important compliance considerations in the financial industry, where timely responses to regulatory actions are crucial.
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