InfoBytes

Archive: Securities

• 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

• SEC awards whistleblower more than $37M

  August 2, 2024

• SEC names Keith E. Cassidy as interim acting Director of Examinations

  August 2, 2024

• SEC opens comments for new “green governance” exchange

  August 2, 2024

• SEC launches new council to coordinate securities enforcement

  August 2, 2024

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