The new rule will require certain confidential loan information to be reported to a registered national securities association
New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities
Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks
Fidelity Brokerage Services will pay a $900K penalty to settle FINRA charges it didn't have a system reasonably designed to approve options trading applications
The SEC charged 10 firms for widespread and longstanding failures to maintain and preserve electronic communications
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