A broker-dealer agreed to settle SEC allegations concerning (i) fraudulent overcharges of various securities trading fees and mark-ups and (ii) misleading disclosures regarding trade functionality on a government securities trading platform.
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21958 News Results
The SEC announced new SRO rule changes and proposals for the week of September 4 to September 8, 2017.
ISDA launched "ISDA SIMM 2.0," the latest iteration of the Standard Initial Margin Model.
At a co-sponsored conference held at New York University, SEC Commissioner Michael Piwowar encouraged examination of (i) the effect of exchange-traded investment products on financial markets, (ii) implications for investors and (iii) the future of ETPs.
FINRA CEO Robert W. Cook testified before the House Financial Services Subcommittee on Capital Markets, Securities and Investment on current FINRA operations, initiatives and programs.