WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label MARKET ACCESS RULE. Show all posts
Showing posts with label MARKET ACCESS RULE. Show all posts
Tuesday, June 30, 2015

SEC CHARGES GOLDMAN, SACHS WITH ACCESS RULE VIOLATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 06/30/2015 12:15 PM EDT The Securities and Exchange Commission today charged Goldman, Sach...
Friday, December 12, 2014

MORGAN STANLEY TO PAY $4 MILLION FOR VIOLATING MARKET ACCESS RULE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The market access rule requires broker-dealers to have adequate risk controls in place be...
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