A real estate firm settled SEC charges for failing to satisfy registration exemption requirements and selling interests in a real estate fund to unaccredited investors.
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A multiservice broker-dealer firm settled FINRA charges for notification failures in violation of anti-manipulation rules that apply to securities offerings.
The SEC extended to November 16, 2022, the period for consideration of a FINRA proposal to shorten the permitted syndicate account settlement timeframe for corporate debt offerings.
A broker-dealer engaged in the private placement of equity securities settled FINRA charges for soliciting customer purchases of the relevant security during a "restricted period."
A broker-dealer settled FINRA charges for failing to reasonably supervise suitability recommendations in connection with the offering of private placements and filing required documents late.