Melissa D. Beck

Melissa D. Beck

Morrison & Foerster LLP

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Are Your Customer Accounts in Order? SEC Announces Sweep of Broker-Dealers and Implementation of the Customer Protection Rule...

On June 23, 2016, the Securities and Exchange Commission (the SEC) announced that it would begin a coordinated effort across divisions to identify potential violations by broker-dealers of Rule 15c3-3 (the “Rule”) under the...more

8/29/2016  /  Broker-Dealer , Custody Rule , Customer Protection Rule , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Securities , Securities and Exchange Commission (SEC) , Securities Exchange Act
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