Hugh Kennedy
FINRA action is aimed at strengthening rule 3240's general prohibition against borrowing and lending arrangements between registered persons and their customers
FINRA report analyzes potential applications, use cases, challenges, and regulatory considerations for brokerage firms concerning metaverse developments
SEC chairman covered developments in equity market structure, central clearing, short selling, and digital engagement practices
Grewal oversaw more than 2,400 enforcement actions resulting in orders for more than $20 billion in disgorgement and penalties
Examiners looking to determine what kinds of controls firms had in place to ensure that data and information provided to publishers are accurate
SEC enforcement actions demonstrate how seriously the Commission takes barriers to the reporting of information to the agency
Commissioners Peirce and Uyeda question unnecessary redactions of final award determinations in the name of whistleblower confidentiality
The SEC charged the spoofing scheme was orchestrated by the then-head of TD Securities Treasuries' trading desk
The shift to T+1 "has provided the appropriate balance between increasing efficiencies and mitigating risk for the industry," reports says
The latest SEC off-channel communications cases involving an IA and a B-D have set a new fine floor: no civil penalty