The North American Securities Administrators Association supported a PCAOB proposed rulemaking to prohibit public accounting firms from making false or misleading statements concerning the firm’s registration status in its marketing efforts.
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The Mississippi Secretary of State issued a cease and desist order to an investment adviser as to the adviser's inconsistent statements to Mississippi investors on ESG strategies.
FINRA adopted amendments to provide margin relief for specified index option positions, referred to as "protected options."
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.
SEC Chair Gary Gensler warned investment advisers, broker-dealers and public companies that misstating their use of AI in investment strategies or company operations may violate securities laws.