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.
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A formerly registered broker-dealer settled FINRA charges for failing to supervise the suitability of sales of variable annuities to customers.
A broker-dealer settled FINRA charges for failing to timely review a request to engage in an outside business activity ("OBA") involving the sale of a security.
FINRA filed a proposed rule change to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location," which would make the location subject to inspections on a regular periodic schedule.
In a new Risk Alert, the SEC Division of Examinations highlighted compliance deficiencies of newly registered investment advisers.