FINRA member Nomura fined for books and records failings
The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.
SEC Rule 17a-4(f)
Stipulates that the records required to be maintained and preserved pursuant to Rule 17a-3 and Rule 17a-4 must be immediately produced or reproduced by way of a recordkeeping system or micrographic media by a designated officer, specialist or affiliated third party.
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Broker-dealer charged with recordkeeping lapses in its underwriting
The SEC said CGMI willfully violated recordkeeping requirements concerning expenses the firm incurred in its underwriting business.
Arm & Hammer claws back comp from a top executive over deleted text messages
Marketing chief was stripped of stock awards because he deleted business related texts on his personal phone.
Latest News
More on SEA 1934 Rule 17a-4
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FINRA disciplinary action update 2024/38
Disciplinary decisions issued September 28 – October 4, 2024.
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'Widespread recordkeeping failures' – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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FINRA disciplinary action update 2024/29
Disciplinary decisions issued July 20 – 26, 2024.
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FINRA disciplinary action update 2024/23
Disciplinary decisions issued June 8 – 14, 2024.
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SEC sued over its recordkeeping fines relating to messaging apps
Suit follows refusal by the SEC to disclose its enforcement records in response to a FOIA request.
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FINRA disciplinary action update 2024/20
Disciplinary decisions issued May 18 – 24, 2024.
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FINRA disciplinary action update 2024/16
Disciplinary decisions issued April 20 – 26, 2024.
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FINRA disciplinary action update 2024/13
Disciplinary decisions issued March 30 – April 5, 2024.
