A broker-dealer settled charges with several state securities regulators for charging “unreasonable commissions” to customers on low principal equity transactions.
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In a new Report, IOSCO offered "Good Practices" for regulators and trading venues on how a jurisdiction could implement IOSCOS's principles on exchange traded funds.
The North American Securities Administrators Association highlighted a multistate agreement among state regulators leading to the settlement of state charges against an online trading platform for its 2020 operational and technical failures during a period of meme-stock volatility.
NASAA extended the comment period on proposed revisions to its Statement of Policy Regarding Real Estate Investment Trusts.
NASAA requested comment on proposed revisions to its Statement of Policy Regarding Real Estate Investment Trusts. The deadline for public comment is August 11, 2022.