A broker-dealer settled FINRA charges for failing to evaluate a registered representative's outside business activity which involved managing an investment fund.

SIFMA commended the SEC for extending no-action relief to brokers or dealers on the application of SEA Rule 15c2-11 ("Initiation or resumption of quotations without specific information") to most fixed income securities.

SEC Commissioner Jaime Lizárraga will step down as SEC Commissioner, effective January 17, 2025.

A firm settled FINRA charges for erroneously reporting order routing data and failing "to disclose material aspects of its relationship with [execution] venues."

A public company settled SEC charges for misleading investors on the valuation of one of its business units.