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The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.
June 28 -
New rules finalized by the Securities and Exchange Commission aim to bring dealer supervision up to the new standards of remote work but only address part of the problem
June 11 -
The board has issued a request for comment on amendments to Rule A-12 and Form A-12 on registration for associated persons for display on the MSRB site.
June 6 -
The board has knocked out nine pieces of interpretive guidance from its inter-dealer confirmation Rule G-12(c) following comments from SIFMA.
May 23 -
The proposal would codify a supervisory system that recognizes the work from home reality.
May 13 -
The SEC has won a partial victory against Choice Advisors and its principal Matthias O'Meara for their role in acting as unregistered brokers and for engaging in a fee-splitting arrangement.
April 23 -
The board approved that step at its second quarter board meeting held this week.
April 19 -
The amendments add three new scenarios that warrant disclosure under MSRB Rule G-47 on time of trade disclosure.
April 10 -
Representatives from the Securities and Exchange Commission gathered Tuesday to discuss some of their examination priorities and some of the trends they're seeing outside of exams.
April 3 -
According to FINRA, the mispricing resulted in customer harm amounting to $44,927.83, on top of the $90,000 fine.
March 8