A broker-dealer settled FINRA charges for failing to disclose material information to investors when selling certain limited partnership interests in a private placement.
News & Insights
1740 News Results
A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.
The MSRB proposed a rule change "to promote the completion of allocations, confirmations, and affirmations by the end of trade date for transactions in municipal securities between brokers, dealers and municipal securities dealers and their institutional customers."
FINRA rule amendments to conform rules to the SEC's new shortened standard settlement cycle of trade date plus one business day (T+1) are now effective.
A broker-dealer settled charges with FINRA for engaging in 717 instances of "spoofing" in the Treasury securities secondary market.