Commentary by Steven Lofchie
Three pension funds sued several major broker-dealers and their affiliates for allegedly inhibiting competition in the stock lending market.
News & Insights
21958 News Results
Commentary by Steven Lofchie
A U.S. subsidiary of an Italian bank agreed to pay over $35 million to settle SEC charges of violating securities laws through illegal issuance of certain American Depositary Receipts.
The SEC approved amendments to certain FINRA rules regarding arbitration procedures.
FINRA filed with the SEC a proposed rule change that would apply "pay-to-play" rules to firms that are governed by the "capital acquisition broker" rule set.
An American shipping company settled potential liability with the Treasury Office of Foreign Assets Control for alleged violations of the Iranian Transactions and Sanctions Regulations.