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The firm has agreed to pay a $7.5 million penalty to the SEC over allegations that it violated the Customer Protection Rule.
Morgan Stanley & Co. has agreed to pay a $7.5 million civil penalty as part of a settlement with the SEC over allegations that the firm violated the regulator’s Customer Protection Rule. The rule governs “customers’ cash and securities so that they can be promptly returned should the broker-dealer fail,” SEC officials say. However, “complex...
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