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rading and Markets is concerned about illicit activities involving low-priced securities transactions
Engage in forensic testing to spot if some trade errors aren’t being reported. Be clear how you calculate a trade error and keep that documentation
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors
One in five survey respondents indicated an increased interest in investing
Compliance bulletins on manipulative trading techniques seemingly ignored
The misbehavior stopped only when personnel changed on the firm's treasuries desk
Altered reports were delivered to OCIE and Enforcement by the CCO
Keep an eye out for account takeover schemes and new account fraud
Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives
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