In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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An introducing broker-dealer settled FINRA charges for misclassifying its owner's personal expenses as business expenses and failing to register and supervise an unregistered individual serving as a principal of the firm.
A broker-dealer and one of its owners settled FINRA charges for failure to maintain the required minimum net capital while conducting securities business.
Comments on SEC's proposed amendments to "modernize" filing procedures through the use of electronic filings are due by May 22, 2023.
The SEC proposed rule amendments that "modernize" filing procedures through the use of electronic filings. The amendments impact numerous rules and forms.