A broker-dealer settled FINRA charges for failing to submit certain interest rate information to the MSRB's Short-Term Obligation Rate Transparency system.
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FINRA issued two regulatory notices regarding its Funding Portal Rules; the notices provide background as to why the rules were adopted and guidance as to how to comply.
In remarks at the "Going Public in the 2020s" Conference, SEC Commissioner Mark T. Uyeda decried the decline in the number of companies going public and made several recommendations for reversing the trend, particularly for smaller companies, which he said would benefit Main Street investors.
A broker-dealer settled FINRA charges for failing to timely file offering documents for multiple private offerings.
An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.