The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
News & Insights
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
An investment adviser settled charges with the SEC for (i) misleading investors as to its ESG-related practices and (ii) failing to implement an AML program specific to its mutual funds business.
A registered representative reached a settlement with the SEC regarding his failure to report red flags to his firm's AML group in connection with a wire transfer from a customer's account to the account of a relative of that customer.
A broker-dealer settled SEC charges for failing to file Suspicious Activity Reports on "suspicious transactions that were executed on its Alternative Trading System."