Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches
New FINRA case adds the new twist of charges against both the firm and a specific person
"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"
The Commission alleged that in 2013, as CCO, Ronald Heineman ignored red flags and engaged in a scheme to manipulate the price of a stock ...
SEC examiners plan to continue to conduct examinations and engage in outreach with firms to assess their T+1 preparedness
Broker-dealer charged for failing to preserve and review over 1.25 million business-related electronic communications on four platforms
Firms charged for deficiencies tied to transactions involving non-traditional ETFs and other non-traditional exchange-traded products
Public privy to the dissemination of U.S. Treasury transactions on a trade-by-trade basis
Social media posts made by influencers on broker-dealer's behalf "were not fair or balanced, or contained exaggerated, unwarranted, promissory or misleading claims"
Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...