FinCEN urged financial institutions to focus their efforts on detecting instances of foreign public corruption.
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A broker-dealer settled FINRA charges for negligent withholding of material information regarding the sale of securities issued by an alternative asset management firm.
In submitted comments, financial associations raised concerns about the SEC's proposed amendments to rules governing beneficial ownership.
A bipartisan group of 47 members of Congress urged SEC Chair Gary Gensler to extend the comment period on its Private Funds Advisers and Form PF proposals to at least 90 days post-publication in the Federal Register.
The co-founder and former executive of a Las Vegas-based tech company settled SEC charges for violating whistleblower protection rules.