# SEC Exchange Act of 1934 order 34-78141
> Respondent: **Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.** · 2016-06-23 · File 3-17312
## Proceeding
- **Release Number:** 34-78141
- **Act:** Exchange Act of 1934
- **File Number:** 3-17312
- **Publish Date:** 2016-06-23
## Respondents
- Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2016/34-78141.pdf](https://www.sec.gov/files/litigation/admin/2016/34-78141.pdf)

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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*