InfoBytes

Archive: Securities

• FINRA fines annuity and fund distributor for causing payment of transaction-based compensation to unregistered entity

  July 12, 2024

• FINRA fines firm for excess commission charges

  July 12, 2024

• SEC files complaint against a digital platform for unregistered offer and sales of securities and acting as unregistered broker

  July 12, 2024

• FINRA fines firm for insufficient ACH monitoring

  July 12, 2024

• SEC charges communications company with accounting control failure

  June 28, 2024

• FINRA issues guidance on broker-dealers using generative AI tools

  June 28, 2024

• SEC extends deadline for FINRA SLATE rule decision

  June 14, 2024

• FINRA imposes censure and $250,000 fine on “influencer” company for misconduct and privacy notice violations

  June 14, 2024

• SEC provides companies the opportunity to review their diversity policies

  June 7, 2024

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