A broker-dealer settled FINRA charges for overstating its daily trading volume in advertisements provided by a third-party market data provider.
A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.
The SEC opened a new comment period on a proposal to adopt a voluntary three-year pilot program to allow broker-dealers to conduct annual office inspections remotely.
A broker-dealer settled FINRA charges for failing to (i) collect investment profile information for customers participating in private placement offerings and (ii) file certain required corporate offering filings.
A broker-dealer settled FINRA charges for failing to take reasonable steps to tailor its AML program to identify suspicious activities on low-priced securities.