Susan Merrill
Susan Merrill
accurately allow blue cannot component essential failure information insider internal market operations potential requests respond sheets sure systems test vital
Blue sheets are an essential component of NYSE investigations into insider trading, market manipulation and other potential violations. Firms must get their operations in order, then periodically test their internal systems to be sure this vital information is accurate. We cannot allow the failure of firms to respond accurately and completely to regulatory requests for information to impede our investigations.
adequate assets case control customer goes heart money procedures reminder stern
This case is a stern reminder that firms must have adequate procedures to supervise and control transfers of assets from customer accounts. It goes to the heart of customers' expectations that their money is safe.