PROVIDING COMPLIANCE PRODUCTS & SOLUTIONS
PROVIDING COMPLIANCE  PRODUCTS & SOLUTIONS 

SEC News

Press Releases

SEC Awards $11.5 Million to Two Whistleblowers (Fri, 17 Sep 2021)
The Securities and Exchange Commission today announced awards of approximately $11.5 million to two whistleblowers whose information and assistance contributed to the success of an SEC enforcement action. The first whistleblower received an award of…
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RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings (Fri, 17 Sep 2021)
The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to pay more than $800,000 to resolve charges that it engaged in unfair dealing in municipal bond offerings. The SEC also announced settled charges against…
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CONTACT US

Augusto “Gus” Macedo

Managing Director

 

11201B Lockwood Drive

Silver Spring, Maryland  20901

Tel: 301-523-6427

 

AMC classified NAICS codes:

  • 522120 - Savings Institutions
  • 522130 - Credit Unions
  • 523110 - Investment Banking and Securities Dealing
  • 523120 - Securities Brokerage
  • 523210 - Securities and Commodity Exchanges
  • 523910 - Miscellaneous Intermediation
  • 523920 - Portfolio Management
  • 523930 - Investment Advice
  • 523991 - Trust, Fiduciary, and Custody Activities
  • 523999 - M
  • 522110 - Commercial Banking
  • iscellaneous Financial Investment Activities
  • 524113 - Direct Life Insurance Carriers
  • 524210 - Insurance Agencies and Brokerages
  • 525110 - Pension Funds
  • 525910 - Open-End Investment Funds
  • 611430 - Professional and Management Development Training

 

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