New York Governor Kathy Hochul nominated Adrienne Harris to become the next New York State Department of Financial Services Superintendent.
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The SEC awarded approximately $2.6 million to five whistleblowers who provided valuable information or independent analysis in three separate enforcement proceedings.
In a recent interview, SEC Chair Gary Gensler raised the possibility of an SEC ban on payment for order flow, arguing that it has "an inherent conflict of interest."
FINRA provided guidance to investors considering investments in special purpose acquisition companies, which typically consist of a purchase of "units" that are comprised of shares and warrants.
The SEC sanctioned eight firms in three separate actions for cybersecurity deficiencies that resulted in the exposure of the personally identifying information of thousands of customers and clients.