The U.S. Court of Appeals for the Fifth Circuit ordered the SEC to "correct defects" in its final rulemaking on issuer repurchase disclosures.
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A broker-dealer settled charges with the SEC for mismarking millions of short- and long-sale orders.
The Financial Information Forum asked FINRA for clarification on new requirements for order routing disclosure reports for OTC and National Market System equity securities orders.
A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to its handling of customers' orders in National Market System securities.
The SEC approved a FINRA proposal to establish new order routing disclosure report publication requirements for OTC and National Market System equity securities orders.