A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.
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A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.
The FINRA Member Regulation Department will review products linked to the Chicago Board Options Exchange Volatility Index.
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
SEC Chair Jay Clayton urged market professionals to act responsibly when dealing with Initial Coin Offerings and shared his perspective on the implementation of remaining Dodd-Frank rulemaking mandates.