In its annual enforcement report, the SEC touted an increase in enforcement actions compared to the previous year and highlighted a record-breaking amount of monetary penalties and whistleblower awards.
News & Insights
350 News Results
A broker-dealer settled FINRA charges for failing to supervise two of its registered representatives that made unsuitable investment recommendations.
A broker-dealer settled FINRA charges for failing to timely acquire shares of a security to close out "fail-to-deliver" positions in compliance with short sale regulations.
A cryptocurrency firm settled SEC charges for publicly offering tokens that the SEC considered to be securities under the Howey test.
The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.