SEC Fines Firms $1.1B for Texting Record-Keeping Failures
Read Full Article The Securities and Exchange Commission is fining 15 broker/dealers and one affiliated investment...
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‘Reasonably Designed’ Policies
Read Full Article In a newly released risk alert, the commission’s Division of Examinations highlighted...
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Eighteen Charged in Pump and Dump
Read Full Article The accused hacked into more than 30 retail accounts at several U.S....
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SEC Charges New York RIA With Pushing Unregistered Securities
Read Full Article A New York-based RIA raised more than $75 million from hundreds of...
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SEC Awards Whistleblower Whose Tip Led to Opening of Investigation
Read Full Article On May 19, the U.S. Securities and Exchange Commission (SEC) issued a...
Read moreSEC is reportedly checking banker cell phones in a Wall Street messaging probe
Read Full Article The U.S. Securities and Exchange Commission has launched a search through 100-plus...
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FINRA Hits An FA For Running A Subscription-Based Investor Website
Read Full Article On May 16, 2022, FINRA published an Acceptance Waiver and Consent (“AWC”)...
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Finfluencers Attracting Finra’s Attention
Read Full Article The Financial Industry Regulatory Authority is paying close attention to the role...
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Continued SEC/FINRA “Complex” Product Concerns: Will Good Regulatory Harvest Arrive?
Read Full Article Like farmers uncertain about what crop to plant, the SEC and FINRA...
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