SEC Issues Administrative Proceeding Involving Merrill Lynch, Pierce, Fenner & Smith
June 19, 2018
June 19, 2018
WASHINGTON, June 19 -- The Securities and Exchange Commission issued the following administrative proceeding (No. 3-18549) in the matter of Merrill Lynch, Pierce, Fenner & Smith:
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTION 203(e) OF THE INVES . . .
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTION 203(e) OF THE INVES . . .