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.
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The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.
A broker-dealer settled FINRA charges for failing to report the short sale indicator for transactions in NMS and OTC equity securities.
A broker-dealer settled SEC charges for violating Regulation SHO by executing short sale trades through its single-dealer platform without doing proper locates.
The Committee on Payments and Market Infrastructures and IOSCO assessed the practices that central counterparties utilize when managing potential losses caused by non-default events, specifically in the context of recovery or orderly wind-down.