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.
SEC Commissioners will publish a request for public comment on a proposed national market system plan to create a consolidated audit trail.
The SEC granted FINRA and other national securities exchanges a limited exemption from certain data collection requirements related to the Tick Size Pilot Plan.