September 29, 2023
The SEC proposed a "tailored form" for registering the offerings of registered index-linked annuities.
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6198 News Results
September 29, 2023
Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.
September 29, 2023
Commentary by Steven Lofchie
House Financial Services Committee members Mike Flood (R-NE), Ritchie Torres (D-NY), French Hill (R-AR) and Wiley Nickel (D-NC) introduced the Uniform Treatment of Custodial Assets Act. The proposed legislation would prohibit financial institutions from including crypto assets held in their custody as a liability on their balance sheet.
September 28, 2023
A broker-dealer settled charges with FINRA and NYSE Arca for over-tendering shares into partial tender offers.
September 28, 2023
An investment adviser settled charges with the SEC for failing to disclose conflicts of interest to clients involving payments received by an affiliated custodian.