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.
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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.
A firm settled FINRA charges for failing to supervise the transmittal of customer funds by representatives with power of attorney and for failing to respond to red flags involving unsuitable trading recommendations.
FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.