In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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An Arkansas-based broker-dealer, often serving as an underwriter, and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond tender offer.
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities concerning ethical standards for financial advisors.
The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide services promised to its client.
The FDIC adopted a final rule that will rescind regulations concerning the fiduciary powers of state savings associations and amend regulations regarding consent requirements for the exercise of trust powers.