A firm settled FINRA charges for failing to adequately review one of its registered representative's outside business activity disclosures.
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FINRA filed a complaint against a broker-dealer for allowing a " disqualified person" to continue to engage in securities dealings.
The SEC (i) raised the threshold above which non-reporting companies that offer certain compensatory benefit plans are required to deliver disclosures to investors, and (ii) requested comments on other potential changes to compensatory arrangements.
FINRA will amend its disclosure review procedure to more effectively assist member firms researching prospective hires as associated persons.
The SEC Advisory Committee on Small and Emerging Companies met to review the Final Report of the Committee.