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SEC fines Canaccord Genuity for allegedly violating Exchange Act rule

The U.S. Securities and Exchange Commission charged Canaccord Genuity LLC for allegedly enabling trading in multiple thinly traded securities without running the review required by the federal securities laws.

According to the regulator's order, the company's conduct was in violation of the Exchange Act Rule 15c2-11, which requires broker/dealers to have a reasonable basis for believing the prospectus and other information made available by the issuer of the securities was accurate. The company allegedly delegated the responsibility to obtain and review the information required under the rule to an untrained compliance associate.

Canaccord consented to the regulator's cease-and-desist order and the imposition of a $250,000 penalty, without admitting or denying the regulator's findings.