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Finance / Stock market / Financial services / Fixed income market / Broker-dealer / Pattern day trader / Securities Exchange Act / Direct market access / Day trading / Financial economics / Financial markets / Investment


National Exam Risk Alert By the Office of Compliance Inspections and Examinations 1 In this Alert:
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Document Date: 2011-09-29 15:01:04

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File Size: 180,18 KB

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Company

or LLP / E*Trade Clearing LLC / New York Stock Exchange / IP / Pinnacle Capital Markets LLC / E*Trade Securities LLC / Insider Trading / Tuco Trading LLC / Crowell Weedon & Co. / /

Country

United States / /

Event

Product Release / Product Issues / /

IndustryTerm

online account / online accounts / direct market access software / sub-account traders / password management / foreign shell banks / client systems / individual traders / /

Organization

office of Foreign Assets Control / office of Compliance Inspections and Examinations / United States Treasury Department / Securities and Exchange Commission / Division of Trading and Markets / NASD / FINRA / Department of the Treasury / Warrior Fund / /

Person

Douglas G. Frederic / Michael A. Paciorek / Money Laundering / /

Position

broker-dealer / pattern day trader / host broker-dealer / compliance officer / broker / correspondent / unregistered broker-dealer / registered broker-dealer / trader / dealer / subject broker dealer / unregistered broker / sub-account trader / subject broker-dealer / /

Product

Exchange Act / equity balances / /

URL

http /

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