- - Compiled by Howard Haykin

FINES, SANCTIONS, LEGAL ACTIONS:

• Stifel, Nicolaus and BMO Capital Markets -  to Pay $4.65Mn for Deficient Blue Sheet Data [SEC]
• Prudential Subsidiaries Misled 94 Funds They Advised, Generating Tens of Millions in Tax Benefits for Parent Company [SEC]
• SEC Obtains Emergency Relief, Charges Chicago-Based Property Developer with Multi-Million Dollar Fraudulent, Unregistered Securities Offering [SEC]
• Court Denies Brokers' Attempt to Dismiss Commission-Splitting Claims [SEC]
• FINRA Arbitrators Say Who Is On First. I Don't Care. I Don't Give A Darn [BrokeAndBroker]
• Schwab Wins Suits Against Brokers in Texas, Nebraska, Dismisses Another Claim [AdvisorHub]
• Morgan Stanley Obtains TRO Against Breakaway Long Island Advisor [AdvisorHub]
• JPMorgan Traders Charged by U.S. With Rigging Metals Deals [Bloomberg]

►    JPMorgan Traders Charged by Justice Department, Accused of Rigging Metal Markets [BusinessInsider]

PEOPLE & COMPANIES:

• James Daly, CorpFin Assoc. Director at SEC, to Retire After >38 Years of Service [SEC]
• Goldman Sachs Head of Risk, Robin Vince, To Step Down - Memo [Reuters]
• Marty Chavez Leaving Goldman Sachs [NYPost]
• Chandler Costello Named SEC Deputy Director for Public Affairs [SEC]
• Monique Winkler Named SEC Associate Regional Director in San Francisco [SEC]

HEADLINES & HEADLINERS:

• FINRA RegNote 19-30: Beginning 2020, Transactions in U.S. Treasurys that Hedge Primary Market Transaction Need Appropriate Report Identifier [FINRA]
• SEC Adopts New Rules, Amendments for Swap Dealers Under Dodd-Frank [SEC]
• RegNote 19-29: FINRA Expanding Published Data Relating to OTC Equity Trading Volume [FINRA]
• SEC Chairman Clayton: 9/13 Remarks at Central Michigan U. [SEC]
• U.S. Banks Are More Profitable Than Ever, But Wall Street Pay Slipping [Bloomberg]
• SEC Proposes Amendments to CAT NMS Plan [SEC]
• Risk Alert: Investment Adviser Principal and Agency Cross Trading Compliance Issues [SEC]
• SEC Awards >$1.8Mn to Whistleblower [SEC]