SEC Enforcement Director reminds that there are "real benefits to self-reporting, remediating and cooperating"
FINRA provides an update on targeted exam sweep to review broker-dealers' offering of, and services provided to, SPACs and their affiliates
Broker-dealer's Reg BI P&Ps weren't tailored to business, offered no guidance for reps/supervisors and didn't detail enforcement mechanisms
Both the SEC's and FINRA's exam staff flagged examining for compliance with Reg BI as an ongoing focus priority
FINRA charged parties failed to evaluate the activities of two reps engaged in OBAs involving investment funds and private placement offerings
New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques
NASAA report reveals a mixed bag of exam findings, with progress on Reg BI P&Ps and work to be done on conflict mitigation
The amendment, which becomes effective immediately, addresses the allocation of recoverable costs for the CAT
Instinet is charged with failing to timely file and accurately report data for tens of billions of order events to the CAT
NASAA looks to incorporate the core principles from Reg BI and SEC guidance into its conduct model rule
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