The SEC adopts changes to the B-D net capital rule and customer protection rule to permit certain B-Ds that perform a daily reserve computation for ...
The complaint also alleged that Matson operated the program as a Ponzi scheme, using investor funds to pay promised returns to earlier investors
The errors in LPL’s EBS submissions were caused, in large part, by coding issues in LPL’s and/or its vendors’ EBS reporting systems
Wells Fargo self-identified and self-reported all but one of the errors that underly this Order, including five that were self-reported prior to any regulatory inquiry ...
You must comply with these requirements in order for documents to be timely received and accepted
This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports
Kyi caused SogoTrade’s failure to accurately document its CIP procedures
Austin fraudulently obtained money over $100,000 benefitting himself, while knowing or having reason to know that the client was a vulnerable adult
SogoTrade’s independent AML auditor identified recurring weaknesses in SogoTrade’s AML program, which it repeated in each of its annual reports
Catalyst was registered with the Commission as an investment adviser and managed private fund assets of at least $150 million as of the end of ...