A broker-dealer settled FINRA charges for failing to use approved methods when estimating per-share Direct Participation Program and Real Estate Investment Trust valuation information distributed to customers.
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21984 News Results
The SEC amended its whistleblower program with the goals of (i) providing greater transparency to whistleblowers, (ii) properly incentivizing whistleblowers and (iii) awarding whistleblowers to the "maximum extent appropriate."
An SEC proposal that would tailor mutual fund and exchange-traded fund disclosures to the needs of retail investors was published in the Federal Register.
The DOL issued a final rule amending the "investment duties" regulation to provide that fiduciaries of ERISA plans must make investment decisions based solely on risk-adjusted economic value.
The CFTC granted exemptions to five foreign futures and options markets to allow their member firms to accept U.S. customer funds for margining futures and options contracts without registering as futures commission merchants with the CFTC.