InfoBytes

Archive: Securities

• SEC awards whistleblower more than $37M

  August 2, 2024

• SEC names Keith E. Cassidy as interim acting Director of Examinations

  August 2, 2024

• SEC opens comments for new “green governance” exchange

  August 2, 2024

• SEC launches new council to coordinate securities enforcement

  August 2, 2024

• FINRA accepts AWC regarding Regulation Best Interest/Form CRS

  August 2, 2024

• FINRA begins pilot program for remote inspections

  August 2, 2024

• FINRA fines firm for bond markups and failure to comply with fair pricing regulations

  August 2, 2024

• State AGs claim SEC went “too far” in crypto regulation

  July 26, 2024

• FINRA accepts AWC for alleged failure to mark-up and mark-down information on confirmations

  July 26, 2024

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