FINRA cautioned firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
News & Insights
21975 News Results
Two broker-dealers settled separate SEC charges for the misuse of pre-released American Depositary Receipts.
SEC Commissioner Hester Peirce and SEC Advocate for Small Business Capital Formation Martha Miller emphasized the importance of a regulatory framework that facilitates capital investment in regional economies.
The CFPB and the State of Arkansas proposed to settle a complaint against brokers for violations of the Consumer Financial Protection Act and the Arkansas Deceptive Trade Practices Act.
A trade credit insurer agreed to settle potential liability for violating the Foreign Narcotics Kingpin Sanctions regulations.