A broker-dealer settled FINRA charges for failing to comply with short sale regulations related to close-outs of "fail-to-deliver" positions.
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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 proposed a "draft strategic plan" detailing its priorities for FY 2022 through FY 2026.
The SEC charged three individuals with securities fraud for engaging in insider trading in the securities of Equifax, Inc. prior to its announcement of a major data breach.
A federal jury convicted two former precious metal traders on charges of (i) fraud, (ii) attempted price manipulation and (iii) spoofing for their involvement in a multi-year market manipulation scheme.