A former compliance officer for a broker-dealer agreed to pay $20,000 to settle charges of failing to file Suspicious Activity Reports on behalf of his employer.
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The Federal Reserve Board, FDIC and the Office of the Comptroller of the Currency detailed an interim approach to rules and associated reporting requirements affected by the Economic Growth, Regulatory Relief, and Consumer Protection Act.
FINRA initiated a new process for reviewing public financial records of candidates proposed to be hired as registered representatives by broker-dealer firms.
A chemical product manufacturer agreed to pay $1.75 million to settle SEC charges of failing to properly disclose in proxy statements certain "other compensation" provided to its CEO.