During a 16-business-day period in February and March 2024, SWBC conducted a securities business while failing to maintain its minimum required net capital, in violation of Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-1, and FINRA Rules 4110(b)(1) and 2010. In addition, the firm failed to maintain books and records reflecting an accurate computation of its net capital from December 2023 to March 2024; filed with FINRA inaccurate Financial and Operational Combined Uniform Single (FOCUS) reports from December 2023 to February 2024; and failed to file net capita