The SEC Office of Compliance Inspections and Examinations described the scope and content of initial examinations for Regulation Best Interest and Form CRS .
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FINRA revised and redesignated its Interpretations of the SEA Financial and Operating Rules to align with recent SEC amendments.
A broker-dealer settled FINRA charges for failing to timely file offering documents for multiple private offerings.
A broker-dealer settled FINRA charges for publishing inaccurate data in required monthly reports on order execution quality.
A broker-dealer settled FINRA charges for failing to make accurate reports of OTC options to the Large Options Positions Reporting system.