A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
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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.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
The SEC Division of Corporation Finance granted no-action relief to a bank holding company from being considered an "ineligible issuer" under the definitions section of Securities Act rules on registration statements and prospectuses.
The CFTC set a comment deadline of October 24, 2023 for proposed amendments to rules governing confirmation of transactions on swap execution facilities.