SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
Comment Period Expires: December 31, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on a proposed new rule, National Association of Securities Dealers, Inc. (NASD®) Rule 1150 (Rule), which would provide NASD members with a qualified
Unless otherwise indicated, suspensions will begin with the opening of business on Monday April 15, 1996. The information relating to matters contained in this section is current as of April 5, 1996. Information received subsequent to April 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
M. Rimson & Co. Inc. (New York, New York), Moshe Rimson (Registered
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRDSM) is updated with changes
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in
Number
Date
Title
2022-85
May 20, 2022
SEC Charges Wells Fargo Advisors with Anti-Money Laundering Related Violations
SEC Order
2022-83
May 16, 2022
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
SEC Complaint
2022-1
January 5, 2022
SEC Charges Additional Defendant in Phony
