President Joseph R. Biden sent nominations to the Senate to fill key regulatory positions.
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21975 News Results
A Chinese national pleaded guilty to a charge of conspiracy to commit economic espionage.
A firm settled FINRA charges for conducting a securities business while failing to maintain required minimum net capital.
A broker-dealer settled FINRA charges for failing to timely report transactions to the Trade Reporting and Compliance Engine.
The SEC extended its consideration of a proposed rule change to list shares of the NYDIG Bitcoin Exchange-Traded Fund on the NYSE Arca Exchange.