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Goldman Sachs hit with $6m fine over recordkeeping breaches

SEC's push for accurate records continues

Goldman Sachs will pay the Securities and Exchange Commission $6m to resolve charges that the investment bank provided incomplete information on securities trades, known as blue-sheet data, the agency announced on 22 September.

The SEC said that over a roughly 10-year period, Goldman made more than 22,000 deficient blue-sheet submissions to the SEC that implicated at least 163 million securities transactions.

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