SEA 1934 Rule 17(a)
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SEC charges 12 municipal advisers with recordkeeping violations
The charges relate to off-channel communications and related supervisory failures.
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OTC Link LLC to pay $1.19m for failing to file suspicious activity reports
Case brought over failure to file any SARs for over three years.
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FINRA disciplinary action update #38
Disciplinary decisions issued November 10 – 16, 2023.
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FINRA disciplinary action update #35
Disciplinary decisions issued October 20 – 26, 2023.
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FINRA disciplinary action update #30
Disciplinary decisions issued September 15 – 21, 2023.
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FINRA disciplinary action update #23
Disciplinary decisions issued July 21 – July 27, 2023.
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Merrill Lynch fails to file nearly 1,500 SARs, say SEC and FINRA
FINRA and the SEC fine Merrill Lynch $6m, saying the broker-dealer failed to implement policies, procedures, and internal controls.
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FINRA disciplinary action update #17
Disciplinary decisions issued June 9 – June 15, 2023.