Commentary by Steven Lofchie
A broker-dealer settled FINRA charges for best execution and supervisory violations, and for failing to disclose material aspects of its relationships with venues.
News & Insights
22379 News Results
Commentary by Steven Lofchie
The DOJ launched an interagency force dedicated to enforcing the sanctions, export restrictions, and economic countermeasures imposed as a response to Russia’s invasion of Ukraine.
NFA urged members to increase their vigilance of cybersecurity threats and to monitor the U.S. Treasury's Office of Foreign Assets Control’s webpage on current sanctions against Russia.
An individual settled FINRA charges for failing to disclose to three broker-dealers at firm in which she was employed, that she was also the CEO and board member at a publicly traded company.
New York Governor Kathy Hochul accelerated the procurement of blockchain analytics technology "to strengthen the [New York State Department of Financial Services] ability to enforce anti-money laundering and Bank Secrecy Act laws."