InfoBytes

Archive: Securities

• 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

• SAP Self-Discloses Approximately $6.8 Million in Payments to Gupta Family-Related South African Entities

  October 27, 2017

• CFTC Issues Primer on Virtual Currencies, Claims Certain Virtual Tokens Fall Under Its Oversight

  October 20, 2017

• SEC Approves FINRA’s Streamlined Securities Competency Exams for Industry Professionals and Consolidated Registration Rules

  October 11, 2017

• CFTC Orders Large Financial Institution to Pay for Supervision Failures

  October 5, 2017

• CFTC Director of Enforcement Offers Incentives to Regulated Companies for Self-Reporting and Cooperation

  September 28, 2017

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