A broker-dealer settled FINRA charges for executing customer transactions in a municipal security in an amount lower than the issue's minimum denomination.
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The New York State Department of Financial Services urged regulated financial institutions to prepare for cyberattacks originating from the Iranian government.
The CFTC Division of Swap Dealers and Intermediary Oversight urged chief compliance officers "to take reasonable measures" to incorporate recent swap dealer reporting guidance into 2019 annual compliance reports.
A financial technology company and its CEO settled SEC charges for (i) falsifying revenue and (ii) fraudulently securing the company's listing on Nasdaq.
The SEC charged individuals and companies in two fraudulent microcap schemes.