Enforcement stepping up interest in churning
A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
SIFMA plans to produce a public "after-action" report
A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
FINRA is wondering if a tougher regulatory scheme for lending arrangements is warranted
Dealer charged with offering and selling unregistered security-based swaps
Supervision failures connected to 529 share-class recommendations charged
Broker-dealers who do business in Europe will have an extra three years to get their paid research affairs in order after the SEC agreed to ...
The SEC announced Nov. 4 that it will extend its no-action letter for firms trying to comply with the European Union’s Markets in Financial Instruments Directive ...
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
AML compliance failures lead to large fine
The SEC proposes revising a rule that governs the publication of securities' quotations
SEC Chairman Jay Clayton says there will be no extension on the Commission’s disputed Reg BI standards. “I think people should be ready,” the chairman ...
Latest enforcement action concerning seniors exploitation troubling
Market manipulation scheme employed by China-based traders
Proposals aimed at improving secondary market structure
Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...
Regulators say that small firms are not singled out for enforcement actions, but don’t try telling that to some of your peers. In the last ...
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
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