A broker-dealer settled FINRA charges for late and inaccurate reporting and recordkeeping violations.

The Financial Stability Oversight Council approved interpretive guidance establishing an "activities-based approach" to address systemic risk.

A broker-dealer agreed to settle SEC charges for the improper handling of "pre-released" American Depositary Receipts and related supervisory failures.

In a statement issued in connection with the 2019 AICPA Conference, SEC Chief Accountant Sagar Teotia described key priorities for his Office.

FINRA proposed modifying the schedule of securities transaction credits applicable to FINRA/Nasdaq Trade Reporting Facilities.