SEC Chair Gary Gensler identified areas of noncompliance in the securities markets, advocating for holding bad actors accountable by "prosecut[ing] dishonesty."
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SEC Division of Enforcement Director Gurbir S. Grewal emphasized the importance of "proactive compliance" amid the "significant decline" in public trust in the financial markets and institutions.
A broker-dealer settled charges with FINRA for failing to have a supervisory system in place that could reasonably detect potential "spoofing" and "layering."
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
SEC Commissioner Mark T. Uyeda addressed the increasingly difficult challenges faced by compliance professionals resulting from the high volume of SEC rulemaking and "rapid succession of compliance dates."