Thursday, November 5, 2020

SEC Issues Warning to Broker-Dealers on Borrowing from Fully Paid Lending Programs

The SEC Division of Trading and Markets issued a warning letter to broker-dealers operating programs in which they borrow fully paid margin securities from their customers.

https://www.findknowdo.com/news/10/23/2020/sec-issues-warning-broker-dealers-borrowing-fully-paid-lending-programs

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