Tag: compliance

SEC Fines Broker for Inconsistent Application of SAR Rule

The filing of SARs – suspicious activity reports – appears to be an increasing area of interest for the Commission. Typically the cases brought have focused on aggravated fact patterns such as the transfer in of millions of penny stock

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A Commission Focus on Retail Investors, Compliance

Compliance is a critical function for any business. Not only can it serve as a possible defense, or at least a mitigating factor if there is a malfeasance, it can also help ensure that the firm operates in accord with

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