Commentary by Steven Lofchie
A broker-dealer agreed to settle FINRA charges for sending false asset valuations to customers in their consolidated statements.
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21975 News Results
Commentary by Steven Lofchie
OFAC sanctioned a Syrian oligarch and associated individuals and entities that support the Assad regime.
Two Japanese corporations agreed to settle FTC charges for violating the premerger notification and waiting period requirements under the Hart-Scott-Rodino Act.
The MSRB updated its guidance on gifts and gratuities limitations for broker-dealers, municipal securities dealers and municipal advisors.
A bipartisan group of U.S. senators proposed the "ILLICIT CASH Act," which would establish federal reporting requirements to help federal and local law enforcement officials more easily access beneficial ownership information.