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SEC-Fines-Firms

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...

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SEC 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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Recent Posts

  • SEC Fines Firms $1.1B for Texting Record-Keeping Failures
  • 'Reasonably Designed' Policies
  • Eighteen Charged in Pump and Dump
  • SEC Charges New York RIA With Pushing Unregistered Securities
  • SEC Awards Whistleblower Whose Tip Led to Opening of Investigation

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