A firm settled NYSE charges for maintaining competing orders from the same customer by two floor brokers.
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In remarks before the Blockchain Association, Acting OCC Comptroller Michael Hsu identified lessons from the 2008 financial crisis that regulators and the crypto industry should apply to "avoid repeating the mistakes of the past."
In its biennial report on examinations of state-registered investment advisers, the North American Securities Administrators Association highlighted that most investment advisers lack policies and procedures regarding the financial exploitation of seniors or other vulnerable investors.
In an updated advisory, OFAC underscored the sanctions risks arising from ransomware payments made in response to "malicious cyber-enabled activities."
During its annual fall meeting, the North American Securities Administrators Association approved a statement on Diversity, Equity and Inclusion.