A broker-dealer settled charges with FINRA for omitting required information on disciplinary history and conflicts of interest in its Client Relationship Summary (Form CRS).
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The SEC set an effective date of January 2, 2024 and accompanying compliance dates for new Exchange Act Rule Rule 10c-1. The final rule was published in the Federal Register.
SEC Commissioner Mark T. Uyeda argued that the securities laws were not designed with variable insurance products in mind and highlighted ongoing efforts to improve disclosure.
An investment adviser settled charges with the SEC for inaccurately describing investments in periodic reports.
The SEC adopted a new rule under the Securities Exchange Act which imposes reporting requirements on persons who lend "reportable securities."