Hi Gary wall here and this is bridging the week for April twenty-eighth tube a second and today is May 5th 2022 good morning today maybe cinco de mayo and a course for festive party however last week the new york stock exchange and to affiliates we're not celebrating at all when they were charged and agreed to be fined by the Securities and Exchange Commission for acting contrary to certain exchanges own rules over not having certain rules at all also not celebrating were respondents who were charged with violating speculative position limits as well as exchange of futures related position and plot trade requirements and were fined by the Chicago Mercantile Exchange and in one case the Commodity Futures Trading Commission too we would like to cover this week in just a few minutes so let's get started in a sweeping criticism of the New York Stock Exchange's and to affiliates of course of conduct from 2008-2022 the Securities and Exchange Commission brought an administrative proceeding against the exchange and its affiliates but fairly to comply with their own rules or for not having certain required rules in the first place on numerous occasions this resulted in the organization's failure to comply with their obligations of self-regulatory organizations on the law says the commission also sued was that nicey exchanges affiliated broker-dealer archipelago securities archipelago was charged with failing to meet SEC regulatory capital requirements on two days in 2022 and for not having required policy and procedures regarding the handling of non-public information the two noisy affiliate exchanges involved this matter are nicey ARCA and nicey market formerly nicey amex to settle this matter nicey its affiliate exchanges and archipelago agreed to pay a fine of 4.5 million u.s. dollars and to retain an independent consultant to...
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Disciplinary proceedings under circular 230 Form: What You Should Know
Circular 230 & Circular 230/230-B | Publication — H&R Block The Tax Adviser: A Guide to Your Tax Return and the IRS.
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