An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.
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In a joint final rule, the SEC and CFTC adopted amendments to Form PF that require more information on private funds.
A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
A broker-dealer settled FINRA charges for failing to timely report certain customer complaints and for failing to report customer settlements exceeding $25,000.
A broker-dealer settled charges with FINRA for failing to file required information in connection with private placement offerings sold to retail investors.