InfoBytes

Archive: Securities

• SEC seeks to include market participants as dealers or government securities dealers

  April 1, 2022

• FINRA fines firm $2.3 million for misusing customer funds and charging unreasonable fees

  April 1, 2022

• CFTC awards $625,000 to whistleblowers

  March 30, 2022

• SEC awards $1.25 million to whistleblower

  March 29, 2022

• SEC proposes climate risk disclosures

  March 24, 2022

• SEC issues $3 million in whistleblower awards

  March 22, 2022

• CFTC awards $10 million to whistleblower

  March 22, 2022

• SEC awards $14 million to whistleblower

  March 16, 2022

• CFTC awards $500,000 to whistleblowers

  March 16, 2022

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