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Initiative has yielded $2.7M in restitution to customers owning 3,900 accounts
Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts
Dissent stems from concerns about due process and the right to earn a livelihood
Hester Peirce
I am not convinced, however, that these protections are adequate given the potentially high stakes of any conditions or restrictions for the viability of a ...
The pandemic conditions necessitating the original extension "persist and in fact appear to be worsening"
Continuing ed, security-based swaps, and statutory disqualifications addressed in proposals
Firms will be required to address registered persons being named as beneficiaries or holding positions of trust for customers come Feb. 15
Principal considerations will contemplate a customer's age or mental impairment
One in five survey respondents indicated an increased interest in investing
SRO proposes extending hold period and allowing holds on securities transactions
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