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27 Apr 2012, 7:00 am
That is a significant violation.Referencing FINRA's own Sanction Guidelines, the starting point for FINRA's Enforcement Staff when they bring a case says: impeding FINRA investigation, a fine of $2,500 to $50,000, PLUS a suspension of one month to two years. [read post]
20 Mar 2019, 5:16 pm
Funds that file Form 24F-2 in connection with paying their registration fees, including mutual funds and exchange-traded funds (as well as interval funds under the proposed amendments), would be required to submit the form in XML format.Periodic Reporting RequirementsTo support the proposed short-form registration statement framework, affected funds filing a short-form registration statement would be required to include certain key prospectus disclosure in their annual reports, as well… [read post]
31 Dec 2013, 10:00 am
.# # #FACT SHEETRegulation ASEC Open MeetingDec. 18, 2013BackgroundWhen a company offers or sells securities to potential investors in order to raise capital, the company is required under the Securities Act of 1933 to register the offer and sale – unless it can rely on an exemption.One longstanding exemption from Securities Act registration is Regulation A, which permits unregistered public offerings of up to $5 million of securities in a 12-month period, including no more than $1.5 million… [read post]
Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
23 Jun 2016, 7:15 am
“Simultaneous with today's action, SEC staff will begin a coordinated effort across divisions to find potential violations by other firms through a targeted sweep and by encouraging firms to self-report any potential violations of the Customer Protection Rule,” said Michael J. [read post]
10 Mar 2010, 2:33 pm
In the last year or so I have seen payout reductions by 50%, removal of all support staff, mysterious re-calculations of payouts, forced changes in business models, trumped up termination language and a host of other conduct designed to either fire the broker, or force him to leave.That conduct is resulting in more claims for constructive discharge, as well as breach of contract and related claims, all of which are starting to come to hearing in the next few months.I expect that we… [read post]
21 Jun 2019, 7:40 am
Throughout the process, our two staffs have drawn on one another’s experiences, expertise, and insights in an effort to build effective rules. [read post]
15 Apr 2016, 6:03 am
Commission staff also has consulted with representatives of the other federal financial regulators and with Department of Labor representatives on this rulemaking.What’s Next? [read post]
