In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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The SEC issued an Order updating several exemptions and granting additional exemptions for certain security-based swap activities.
A broker-dealer settled FINRA charges for reporting inaccuracies and submission failures to the Order Audit Trail System.
A broker-dealer agreed to pay $250,000 to settle various FINRA reporting violations, including failing to disclose its sales compensations on preferred securities transactions to customers.
The MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.