Fined: Apex Clearing Corporation Fined by FINRA

Fined

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.

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