The dual registrant's AML program was not reasonably designed to account for the risks associated with these additional services used by customers in their ...
Accordingly, the Division will not recommend enforcement action to the Commission under Exchange Act Rule 17a-8 if abroker-dealer treats an investment adviser as if it ...
These proceedings arise out of Natixis’ failure to submit to the Commission complete and accurate data in response to Commission staff electronic blue sheets (“EBS”) ...
These proceedings arise out of Citadel’s failure to submit to the Commission complete and accurate data in response to Commission staff electronic blue sheets (“EBS”) ...
From May 22, 2015 to March 30, 2018 (the “relevant period”), MUSA submitted 3.860 EBS to the Commission, containing 687,176 transactions, nearly all of which ...
Although this accounting error was not quantitatively large as a percentage of net asset value or net income, KCAP determined that the erroneous recording and ...
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating ...
The Commission’s complaint alleged that between 2008 and March 2018, Respondent Maccoll defrauded at least 15 of his retail brokerage customers out of nearly $4 ...