New rules require firms that routinely deal in US government bonds to register as broker-dealers and face stricter oversight.
SEA 1934 Rule 15(c)
Disciplinary decisions issued August 4 – August 10, 2023.
Disciplinary decisions issued May 5 – May 11, 2023.
Disciplinary decisions issued April 28 – May 4, 2023.
Disciplinary decisions issued April 7 – April 13, 2023.
Disciplinary decisions issued March 3 – 9, 2023.
Disciplinary decisions issued 17 – 23 February, 2023.
The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.