FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
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A firm settled with FINRA for charging unfair prices in corporate and municipal bond transactions and for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with its fair pricing obligations.
An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
A footwear company settled with the SEC for failing to make required disclosures of related person transactions in its annual reports and proxy statements.
FINRA executives highlighted risks firms face with generative AI and large language models and how FINRA is approaching these challenges.