FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
News & Insights
41 News Results
The North American Securities Administrators Association urged investors to be cautious of "finfluencer" marketing on social media.
Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.
The SEC charged a New York-based "robo-adviser" with making false claims to investors, breaching its fiduciary duty, and committing related compliance failures.
An investment adviser settled SEC charges for imp roperly promoting hypothetically back-tested performance information.