Peter Isajiw

Peter Isajiw

King & Spalding

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The SEC’s Customer Protection Rule Initiative and Whistleblower Protection Efforts – What Broker-Dealers Need to Know

On June 23, 2016, the SEC instituted a settled enforcement action against Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch Professional Clearing Corp. (collectively, “Merrill”), in which Merrill agreed to pay $415...more

7/13/2016  /  Broker-Dealer , Chief Compliance Officers , Customer Protection Rule , Enforcement Actions , MCDC , Merrill Lynch , Publicly-Traded Companies , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Whistleblower Protection Policies
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