Firms charged for deficiencies tied to transactions involving non-traditional ETFs and other non-traditional exchange-traded products
Public privy to the dissemination of U.S. Treasury transactions on a trade-by-trade basis
Social media posts made by influencers on broker-dealer's behalf "were not fair or balanced, or contained exaggerated, unwarranted, promissory or misleading claims"
The "biggest and most powerful" implementation being seen so far with AI is efficiency gains
When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical
The FINRA AML enforcement action demnonstrates the SRO's practice of "progressive discipline"
The amendments expand the scope of entities subject to Exchange Act rule 605, and modify the content of order information reported
Come June 30, rule amendments aimed at improving the accessibility of order routing disclosures for NMS stocks will be in place
Broker-dealer was charged with failing to reasonably supervise the use of personal e-mails for business-related communications
Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"