An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
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A broker-dealer settled FINRA charges for misreporting short positions in equity securities.
An SEC proposal to facilitate the implementation of the Consolidated Audit Trail was published in the Federal Register.
The CFTC renewed the Global Markets Advisory Committee for an additional two years.
The CFTC renewed the Agricultural Advisory Committee for an additional two years.