In a recent interview, SEC Chair Gary Gensler raised the possibility of an SEC ban on payment for order flow, arguing that it has "an inherent conflict of interest."
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FINRA provided guidance to investors considering investments in special purpose acquisition companies, which typically consist of a purchase of "units" that are comprised of shares and warrants.
The SEC sanctioned eight firms in three separate actions for cybersecurity deficiencies that resulted in the exposure of the personally identifying information of thousands of customers and clients.
In response to an SEC request for comment on its semiannual regulatory agenda, the Council of Institutional Investors urged the SEC to prioritize compensation clawbacks, insider trading rules, and the proxy process.
A Romania-based bank and its U.S. parent company settled potential civil liability with OFAC for alleged violations of Iranian and Syrian sanctions regulations.