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B-D agrees to pay $1.25 million penalty
A Private Investment Fund or Privately-offered RIC should not be deemed to be "narrowly held"
B-Ds taping procedures found to be lacking
UITs have again become a source of pain
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
Proposals address Reg BI, firm misconduct
New examination and risk monitoring structure in place
GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...
Sanctioning of CCO illustrates perils facing small firm CCOs
The SEC has dropped its ADR hammer again, this time on a New York broker-dealer Jefferies.  The firm will now pay nearly $4 million in ...
The CAT is full-steam ahead for implementation in 2022
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
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 ...
FINRA is wondering if a tougher regulatory scheme for lending arrangements is warranted
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 ...
AML compliance failures lead to large fine
The SEC proposes revising a rule that governs the publication of securities' quotations
Latest enforcement action concerning seniors exploitation troubling
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