The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
News & Insights
35 News Results
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
A broker-dealer settled FINRA charges for failing to timely review a request to engage in an outside business activity ("OBA") involving the sale of a security.
A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.
A broker-dealer settled FINRA charges for failing to supervise two of its registered representatives that made unsuitable investment recommendations.