The SEC, the MSRB and FINRA will be offering a 2021 Compliance Outreach Program for municipal advisors. The program is scheduled for October 7, 2021.
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The SEC charged a former information technology manager of a pharmaceutical company with trading on material nonpublic information.
In an Executive Order signed on September 17, 2021, President Joseph R. Biden declared a state of national emergency to address the threat to the national security and foreign policy of the United States posed by the "widespread violence, atrocities, and serious human rights abuses" in northern Ethiopia and the greater Horn of Africa region.
A broker-dealer entered into settlements with the State of Massachusetts for state registration and supervisory violations. The enforcement action garnered public attention because the firm had employed Keith Gill, better known as "Roaring Kitty," the primary proponent of buying GameStop.
FINRA updated a FINRA rule on compliance with an SEC rule "setting forth the information review and maintenance requirements for broker-dealers that publish quotations in a quotation medium for securities in the over-the-counter market."