An individual settled FINRA charges for disclosing confidential customer positions.
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A small firm settled FINRA charges for failing to conduct annual independent testing of its anti-money laundering program.
The North American Securities Administrators Association seeks comment on a proposed "Statement of Policy Regarding Peer-to-Peer Lending" through online platforms.
New York Attorney General Letitia James warned cryptocurrency investors to make sure they are complying with all applicable tax laws associated with their investment in virtual assets.
The SEC extended a pilot program on market-wide circuit breakers in NMS Stocks. The extension runs from March 18, 2022 to April 18, 2022.