All Customer Protection Rule articles
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News BriefSEC on guard in adopting money market fund reforms
The Securities and Exchange Commission voted to approve rule changes affecting money market funds that the agency hopes fare better than previous efforts in the space.
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ArticlePCAOB fines Citrin Cooperman $200K over audit failures
Citrin Cooperman was fined $200,000 by the Public Company Accounting Oversight Board for failing to meet PCAOB standards during its 2016 and 2017 year-end audits at an unnamed broker-dealer.
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ArticleCredit Suisse unit fined $9M for conflict of interest, recordkeeping lapses
Credit Suisse Securities agreed to pay a $9 million fine levied by FINRA for failing to comply with securities laws and rules involving potential conflicts of interest and the safeguarding of customer securities.
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Blog
SEC: Merrill Lynch to pay $415M for misusing customer cash
Merrill Lynch has agreed to pay $415 million to settle charges that it misused customer cash to generate profits for the firm and failed to safeguard customer securities from the claims of its creditors. Jaclyn Jaeger reports.