The SEC sued an investment advisory firm and its principal for operating a multi-year cherry-picking scheme.
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An issuer settled SEC charges for internal accounting controls violations that resulted in an improper management authorization of a stock buyback plan.
The SEC Office of Investor Education and Advocacy and FINRA urged investors to add a "trusted contact person" on brokerage accounts to protect against fraud.
The SEC Office of Investor Education and Advocacy issued an updated Investor Bulletin on trading in cash accounts and how certain activities can lead to a 90-day account freeze.
The SEC Division of Trading and Markets granted "introducing" broker-dealers no-action relief in order to relieve certain administrative and operational burdens during the customer account opening process.