The Commission’s enforcement program continued its focus on retail customer protections this week. The agency filed settled administrative proceedings against a broker dealer – investment adviser based on a coding error which left the firm in violation of the customer …
Tag: retail customers
SEC and Retail Customers: Sanctions For Undisclosed Principal Transactions
The Commission’s revamped approach to enforcement, centered in part on retail customers, is reflected in its most recent case. In an action against a managing director at a firm registered as an investment adviser and broker dealer, the Order focuses …
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