InfoBytes

Archive: Securities

• 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

• NYDFS pens guidance for virtual currency companies on customer service

  June 7, 2024

• SEC’s Division of Examinations provides guidance on broker-dealer examination process

  June 7, 2024

• House passes resolution to nullify SEC’s rule on crypto accounting guidance

  May 10, 2024

• Texas issues a cease and desist order against a securities firm

  April 26, 2024

• Tennessee updates its UCC to amend “money” definition and include CBDCs

  April 19, 2024

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