Dual-registrants for broker-dealers | Regulatory Compliance Watch

DUAL REGISTRANTS FOR BROKER-DEALERS

Firm settles unsuitable recommendations charges

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8 New SEC Reg BI FAQs

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‘A lie’: Judge rules New York man used fund, B-D, as...

BD Latest News February 21 2020

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Wedbush settles charges of supervisory failures tied to pump-and-dump scheme

BD Latest News March 14 2019

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TD Ameritrade fined $500K for SARs failures tied to terminated advisers

BD Latest News September 27 2018

AML compliance officer settles charges of failing to file hundreds of...

Broker-Dealers July 12 2018

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Market-linked investment sales yield misconduct charge, compliance missed issues

BD Latest News June 28 2018

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Merrill Lynch charged with misleading customers into overpaying for RMBS

BD Latest News June 14 2018

Long-running pump-and-dump scheme yields supervisory failures charges

Broker-Dealers April 5 2018

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FINRA and SEC fine Aegis Capital for AML and SARs violations

BD Latest News April 5 2018

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/><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="120" height="70" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/td_100x70.png" alt=""/>

SEC exam request letter for a broker-dealer or dual-registrant exam

BD Compliance Toolbox July 31 2017

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KMS Financial Services: $500,000 payment from dual-registrant for failing to disclose...

Broker-Dealers July 19 2017

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Deficient BSA compliance program yields AML charges for broker-dealer

BD Latest News June 8 2017

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Disclosure issues tied to forex trading program trip up Morgan Stanley,...

BD Latest News January 26 2017

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Morgan Stanley hit with penalty for overbilling clients, custody rule violations

Broker-Dealers January 19 2017

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Mark Holt: SEC disbars attorney who participated in fraud at a...

BD Rules & Regulatory Actions November 17 2016

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