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Abstract：On August 6, 2025, the Financial Industry Regulatory Authority (FINRA) announced that D. Boral Capital agreed to a censure and a $125,000 fine as part of a settlement for failing to maintain the minimum required net capital.
On August 6, 2025, the Financial Industry Regulatory Authority (FINRA) announced that D. Boral Capital agreed to a censure and a $125,000 fine as part of a settlement for failing to maintain the minimum required net capital.
Between July 2020 and May 2024, D. Boral Capital conducted securities business on 96 separate days while failing to maintain its minimum required net capital. These deficiencies violated the Securities Exchange Act. These standards are designed to ensure brokers have sufficient liquid assets to meet obligations to customers.
During the same period, the firm did not establish or maintain written supervisory procedures reasonably designed to ensure compliance with net capital requirements.D. Boral Capital failed to file or timely file the required corporate offering documents. These omissions violated FINRA Rule 5110, which governs filing requirements for underwriting and distribution activities, as well as FINRA Rule 2010.
Maintaining minimum net capital and adhering to robust supervisory procedures is critical for broker-dealers to:
Protect Customers: Ensures firms can meet withdrawal and settlement obligations.
Support Market Integrity: Reduces the risk of disorderly liquidations.
Avoid Regulatory Action: Noncompliance can lead to costly fines and reputational harm.
The D. Boral Capital case underscores the importance of continuous monitoring and timely reporting in the brokerage industry. Firms should review their net capital calculations and WSPs regularly, and they must stay vigilant when participating in corporate offerings to meet all filing deadlines.
Disclaimer:
The views in this article only represent the author's personal views, and do not constitute investment advice on this platform. This platform does not guarantee the accuracy, completeness and timeliness of the information in the article, and will not be liable for any loss caused by the use of or reliance on the information in the article.
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