InfoBytes

Archive: Securities

• International bank and head trader settle with SEC for CMBS fraud

  February 14, 2018

• SEC exams to focus on ICOs, cybersecurity, and AML programs

  February 9, 2018

• SEC halts allegedly fraudulent ICO

  February 1, 2018

• CFTC reaches spoofing settlements with banks; joint investigation with DOJ leads to civil and criminal charges against traders

  February 1, 2018

• FINRA releases 2018 regulatory and examinations priorities letter

  January 11, 2018

• FINRA Fines Brokerage Firm $2.8 Million for Customer Protection Rule Violations

  January 4, 2018

• SEC Obtains Emergency Court Order Against Canadian Firm for Allegedly Violating Federal Securities Law; Halts Initial Coin Offering

  December 6, 2017

• SEC Reaches $3.5 Million Settlement With Broker-Dealer Over Failure to File Suspicious Activity Reports

  November 14, 2017

• SEC Chairman Discusses Corporate Governance, States Enhanced Transparency Can Help Prevent Fraud, and Reveals First-Ever National Database of Barred Brokers and Advisors

  November 9, 2017

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