A broker-dealer settled FINRA charges for failing to prevent a representative from making unauthorized transfers of funds from customer accounts to third-party accounts and outside entities.
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A broker-dealer settled FINRA charges for failing to comply with FINRA's AML compliance program requirements.
The SEC granted a request from various securities exchanges to provide limited exemptive relief from timestamp granularity requirements under the National Market System Plan Governing the Consolidated Audit Trail.
OFAC amended the North Korean Sanctions Regulations to align with provisions enacted by the Treasury Department under the North Korea Sanctions and Policy Enhancement Act of 2016.
The SEC provided limited and temporary flexibility for business development companies to issue senior securities.