Friday, January 22, 2021

SEC fined TD Ameritrade for failing to report advisers’ suspicious activities

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The Securities and Exchange Commission fined TD Ameritrade Inc. $500,000 on Monday for failing to file certain required suspicious activity reports after the firm halted business with 111 independent investment advisers. Broker-dealers such as TD Ameritrade are required to comply with the Bank Secrecy Act and file such suspicious […]

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