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.

A broker-dealer settled FINRA charges for excessive trading in customer accounts, as well as missing red flags and failing to timely respond when red flags were spotted.

SEC Deputy Director of the Office of the Advocate for Small Business Capital Formation Sebastian Gomez Abero touted the "expanded capital raising pathways" under the 2012 JOBS Act and urged practitioners to utilize resources now available in the SEC's consolidated Capital Raising Hub.

An SEC final rule amending the disclosure rules on executive compensation under Regulation S-K will become effective on October 11, 2022.

SIFMA urged the SEC to approve FINRA's proposal to implement a voluntary three-year pilot program to allow broker-dealers to conduct annual office inspections remotely.