Filing: FINRA v Merrill Lynch


FINRA v Merrill Lynch

27 October 2014

Between approximately July 1, 2008 through July 2012, MLPRO failed to establish, maintain and enforce adequate supervisory systems and procedures, including in some instances written supervisory procedures, that were reasonably designed to ensure compliance with applicable securities laws and regulations including Regulation SHO, the 2008 Emergency Orders issued by the SEC and anti-money laundering requirements.

PDF (20 pages): FINRA v Merrill Lynch