Tag: market access

As the Christmas and holiday season approaches, the SEC brought a series of actions. Those included two settled FCPA actions filed in tandem with the DOJ, one of which also involved foreign regulators and the payment of about $3.5 billion. …

This Week In Securities Litigation (Week ending December 23, 2016) Read More »

Tagged with: , , , , , ,

The Commission has brought a series of cases under Exchange Act Section 15(c)(3) and Rule 15c3-5, its market access rule. That rule requires that broker-dealers with market access establish risk management controls to prevent the entry of erroneous orders and …

Merrill Lynch Settles SEC Market Access Charges Read More »

Tagged with: ,