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Though enforcement cases slightly decreased this past year, lawyers say the Securities and Exchange Commission is just as aggressive as ever.
November 15 -
“The channel doesn’t matter in terms of responsibility for the information,” said SEC Chairman Jay Clayton.
November 14 -
If the proposal is approved, the timing of issuers' annual financial disclosures would be prominently displayed as soon as the beginning of 2020.
November 13 -
The Financial Industry Regulatory announced the action Wednesday, saying it stemmed from the firms' supervisory failures.
November 6 -
Dealer groups believe that some sections of the proposed amended guidance such as complex financing and disclosure standards would add complexity to the rule.
October 30 -
The Municipal Securities Rulemaking Board plans a review after pressure from Sens. John Kennedy and Elizabeth Warren to change the makeup of its membership.
October 25 -
After getting national attention for allegedly swindling millions from a disabled billionaire client, brokers Ami Forte and Charles Lawrence have been barred from the industry.
October 21 -
The Financial Industry Regulatory Authority's 2019 Report on Examination Findings, released Wednesday, discussed violations FINRA personnel discovered.
October 16 -
The firm attached a corrective action statement detailing changes to its personnel, compliance department and municipal trading desk.
October 15 -
MSRB Chief Education Officer Ritta McLaughlin will be the fifth senior official to leave the MSRB in the last couple of months.
October 10