FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.
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A broker-dealer settled charges with FINRA for failing to review internal communications.
FINRA proposed amendments to its rules to allow members to project the performance of, or provide a targeted return regarding, security or asset allocations.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
The SEC set an effective date of December 11, 2023 for rule amendments that prevent investment companies from adopting names that may mislead investors. The date was published in the Federal Register.