简体中文
繁體中文
English
Pусский
日本語
ภาษาไทย
Tiếng Việt
Bahasa Indonesia
Español
हिन्दी
Filippiiniläinen
Français
Deutsch
Português
Türkçe
한국어
العربية
Sommario:In a recent development, the Financial Industry Regulatory Authority (FINRA) has imposed a fine of $35,000 on Murray Securities, Inc. for purported breaches related to Regulation Best Interest (Reg BI).
In a recent development, the Financial Industry Regulatory Authority (FINRA) has imposed a fine of $35,000 on Murray Securities, Inc. for purported breaches related to Regulation Best Interest (Reg BI).
Since June 30, 2020, Murray Securities has been accused of failing to establish and uphold a supervisory system, as well as neglecting to implement written policies and procedures aimed at ensuring compliance with Exchange Act Rule 15/-1 (Reg BI).
These shortcomings have led to allegations of willful violations of the Securities Exchange Act of 1934 Rule 15/-1 (a)(1), along with infringements of FINRA Rules 3110 and 2010.
Furthermore, it is asserted that since June 30, 2020, Murray Securities has neglected to include necessary information in its Form CRS and has failed to establish and maintain an effective supervisory system, including written supervisory procedures (WSPs), to meet its obligations under Exchange Act Rule 17a-14 concerning the preparation, delivery, and updating of its customer relationship summary (Form CRS).
Consequently, Murray Securities is alleged to have willfully violated Section 17(a)(1) of the Exchange Act and Exchange Act Rule 17a-14, in addition to contravening FINRA Rules 3110 and 2010.
In addition to the monetary penalty, Murray Securities has consented to a censure as part of the settlement.
Disclaimer:
Le opinioni di questo articolo rappresentano solo le opinioni personali dell’autore e non costituiscono consulenza in materia di investimenti per questa piattaforma. La piattaforma non garantisce l’accuratezza, la completezza e la tempestività delle informazioni relative all’articolo, né è responsabile delle perdite causate dall’uso o dall’affidamento delle informazioni relative all’articolo.
Vantage
Eightcap
IG
IQ Option
TVR
IC Markets
Vantage
Eightcap
IG
IQ Option
TVR
IC Markets
Vantage
Eightcap
IG
IQ Option
TVR
IC Markets
Vantage
Eightcap
IG
IQ Option
TVR
IC Markets