The SEC delayed its decision on a proposed rule change by Nasdaq that would allow the listing of exchange-traded funds based on Ethereum.
News & Insights
252 News Results
A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
The CFTC Division of Clearing and Risk granted relief to a derivatives clearing organization to permit the holding of customer funds at the Banque de France.
FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.