The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
News & Insights
846 News Results
The MSRB proposed to further extend remote office inspection relief and (ii) remove references to expired pandemic-related relief for brokers, dealers and municipal securities dealers.
A firm settled separate charges with FINRA and Nasdaq for surveillance failures over potentially manipulative trading by a customer subject to heightened supervision.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
A formerly registered broker-dealer settled FINRA charges for failing to supervise the suitability of sales of variable annuities to customers.