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SEC Charges BD, COO With Failing to File SARs

The Commission has long focused on microcap fraud by, among other things, bringing manipulation actions centered on penny stocks. OCIE and FINRA have also issued guidance for compliance departments on red flags to watch for which may suggest such a

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Anti-money laundering has been a key compliance and at times enforcement issue for years. This is particularly true since the passage of the PATRIOT Act in 2001. David Blass, Chief Counsel, Division of Trading and Markets, recently provided insight on

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