A broker-dealer settled FINRA charges for failing to adequately supervise the outside business activities of its registered representatives.
An SEC final rule amending the disclosure rules on executive compensation under Regulation S-K will become effective on October 11, 2022.
An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.
The SEC adopted amendments to disclosure rules on executive compensation. The amendments require most reporting companies to provide specific disclosure concerning the relationship between executive compensation "actually paid" to their named executive officers and the company's financial performance.