InfoBytes

Archive: Securities

• Broker-Dealer fined for “No Remuneration” indicators in FINRA reports

  August 30, 2024

• Crowdfunding portal member expelled from FINRA Membership

  August 30, 2024

• Broker-dealer to pay $1.19M for suspicious activity reporting violations

  August 30, 2024

• CFTC orders bank to pay $5M for swap reporting violations

  August 30, 2024

• FINRA charges member firm with Regulation Best Interest violations

  August 23, 2024

• SEC’s Gensler discussed recent enforcement actions and artificial intelligence risks

  August 23, 2024

• FINRA fines broker $165K for lack of supervisory controls and market access rule violations

  August 23, 2024

• CFTC awards over $1M to whistleblower

  August 16, 2024

• FINRA orders broker-dealer to pay over $1.4M for supervision failures

  August 9, 2024

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