Examinations

Firms paused fund raising for years over single trades

FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO

Proposed reforms buy time for hard-pressed sector

Fintech grinds against fiduciary standards

The DOE also vows at least a modest return to pre-pandemic days. “We also expect to increase our on-site interactions with regulated entities while continuing ...

'Specific risk profiles' get closer looks

Enforcement Division relying on 'overly broad interpretation,' groups warn

Regulators 'really pushing the boundaries' with fintech

An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...

This SEC exam letter from 2023 probes fees and advertising