The SEC disapproved Nasdaq Stock Market’s proposed rule change that would have allowed an issuer executing a direct listing with a capital raise to trade more than 20% above its expected pricing range.
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A broker-dealer settled FINRA charges for best execution and supervisory violations, and for failing to disclose material aspects of its relationships with venues.
The DOJ launched an interagency force dedicated to enforcing the sanctions, export restrictions, and economic countermeasures imposed as a response to Russia’s invasion of Ukraine.
NFA urged members to increase their vigilance of cybersecurity threats and to monitor the U.S. Treasury's Office of Foreign Assets Control’s webpage on current sanctions against Russia.
An individual settled FINRA charges for failing to disclose to three broker-dealers at firm in which she was employed, that she was also the CEO and board member at a publicly traded company.