The National Credit Union Administration Board proposed a rule to establish a simplified method of measuring capital adequacy for complex credit unions.
News & Insights
22388 News Results
An options firm settled NYSE American charges for mismarking long sale orders as "short," and short sale orders as "long," due to intermittent system issues and programming errors.
The SEC Department of Examinations observed deficiencies with respect to compliance programs, conflicts of interest and disclosures in the practices of investment advisers executing principal and cross trades in fixed income securities.
A broker dealer settled FINRA charges for violating private placement offering rules. FINRA found that the firm did not establish pre-existing, substantive relationships with the investors needed to claim exemption from registration under the rules.
The SEC Division of Examinations observed deficiencies with respect to investment advisers' management of wrap fee accounts.