Foreign Collusion, Naked Shorting (Counterfeiting) & Money Laundering — All Illicit Wealth
Apex Clearing Corporation Fined by FINRA
An AWC was issued in which the firm was censured, fined $250,000 and required to provide a written certification within 90 days that it has completed a review of its systems and procedures regarding SEC Rule 10b-16(a)(1), and as of the date of the certification, the firm’s policies, systems and procedures are reasonably designed to achieve compliance with the rule.
Apex Clearing Corporation Fined by FINRA
An AWC was issued in which the firm was censured and fined $140,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to comply with FINRA’s short interest reporting requirements and related supervision obligations.
THE DOLLAR HAS NO INTRINSIC VALUE : DO YOUR ASSETS?
