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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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Instructions and Help about Disciplinary proceedings under circular 230

Hi, Gary Wall here and this is Bridging the Week for April twenty-eighth to a second. Today is May 5th, 2014. Good morning! Today may be Cinco de Mayo and of course, a festive party. However, last week, the New York Stock Exchange and its affiliates were not celebrating at all. They were charged and agreed to be fined by the Securities and Exchange Commission for acting contrary to certain exchanges' own rules, or 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. They were fined by the Chicago Mercantile Exchange and, in one case, the Commodity Futures Trading Commission. 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 and its affiliates' course of conduct from 2008-2012, the Securities and Exchange Commission brought an administrative proceeding against the exchange and its affiliates. They were charged for failing to comply with their own rules or not having certain required rules in the first place. On numerous occasions, this resulted in the organization's failure to comply with its obligations as self-regulatory organizations. Also sued was the NYSE exchange's affiliated broker-dealer, Archipelago Securities. Archipelago was charged with failing to meet SEC regulatory capital requirements on two days in 2010 and for not having required policy and procedures regarding the handling of non-public information. The two NYSE affiliate exchanges involved in this matter are NYSE ARCA and NYSE Market, formerly NYSE Amex. To settle this matter, NYSE, its affiliate exchanges, and Archipelago agreed to pay a fine of 4.5 million US dollars and to retain an independent consultant to review their rule compliance programs. Maintaining strong...