A firm settled FINRA charges for (i) allowing paid influencers to make posts on social media that involved unfair, exaggerated or false claims and (ii) failing to review such posts prior to their posting.
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A dually registered broker-dealer and investment advisor settled FINRA charges for failure to supervise its registered representatives' electronic communications.
FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.
A broker-dealer settled charges with FINRA for failing to review internal communications.
FINRA proposed amendments to its rules to allow members to project the performance of, or provide a targeted return regarding, security or asset allocations.