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September 29, 2022

FINRA's National Adjudicatory Council revised its Sanctions Guidelines to more accurately reflect the levels of sanctions imposed in disciplinary proceedings.

September 29, 2022

A broker-dealer settled FINRA charges for failing to preserve employees' business-related text messages. The settlement was part of a larger joint agency sweep to assess compliance with recordkeeping and supervision requirements related to "off-channel" communications involving employees' personal devices.

September 28, 2022

An investment adviser settled SEC charges for failing to timely pay back certain expenses through management fee offsets as well as related failures to disclose its practices to investors.