BD Week Enforcement Alert (August 30, 2010)
Broker-Dealer Week (BD Week)
8/30/2010
On August 30, 2010, BD Week published an Enforcement Alert, "Make sure you test systems that monitor fund transfers, case shows," in which Steve Ganis is quoted regarding the compliance and supervisory take-aways from the recent FINRA Rule 3012 enforcement action against St. Louis-based firm Edward Jones.
Click here to read the article in full.
