InfoBytes

Archive: Securities

• FINRA fines securities firm $20,000 for AML violations

  February 3, 2022

• SEC chair considers updating cybersecurity rules

  January 28, 2022

• FINRA fines securities firm $9 million over customer protection violations

  January 28, 2022

• FINRA adopts securities-based swap amendments

  January 26, 2022

• SEC issues $40 million in whistleblower awards

  January 26, 2022

• SEC issues multiple whistleblower awards

  January 12, 2022

• SEC proposes rules connected to security-based swaps transactions

  December 17, 2021

• SEC settles with company distributing unregistered shares

  December 17, 2021

• SEC, CFTC settle with national bank’s subsidiary

  December 17, 2021

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