In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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The SEC, the CFTC and the DOJ filed actions against a New York-based family office and certain of its principals for an alleged market manipulation scheme that resulted in billions of dollars in losses.
FINRA set the compliance dates for rule amendments relating to security-based swaps.
The SEC approved a FINRA proposal to address the application of FINRA rules to security-based swaps.
FINRA revised and redesignated its Interpretations of the SEA Financial and Operating Rules to align with recent SEC amendments.