In an Executive Order signed on September 17, 2021, President Joseph R. Biden declared a state of national emergency to address the threat to the national security and foreign policy of the United States posed by the "widespread violence, atrocities, and serious human rights abuses" in northern Ethiopia and the greater Horn of Africa region.
News & Insights
22388 News Results
A broker-dealer entered into settlements with the State of Massachusetts for state registration and supervisory violations. The enforcement action garnered public attention because the firm had employed Keith Gill, better known as "Roaring Kitty," the primary proponent of buying GameStop.
FINRA updated a FINRA rule on compliance with an SEC rule "setting forth the information review and maintenance requirements for broker-dealers that publish quotations in a quotation medium for securities in the over-the-counter market."
A broker-dealer settled FINRA charges for failing to repair and resubmit rejected Reportable Order Events to the Order Audit Trail System.
In separate Orders, a municipal securities firm, the head of the firm's sales, trading and syndication group, and the head of the firm's syndicate desk settled SEC charges for inappropriately allocating municipal bonds to "flippers" ( i.e., unregistered brokers that buy and sell bonds at a profit).