A broker-dealer settled FINRA charges for failing to conduct adequate background checks of newly hired employees and to notify FINRA of its expanded number of employees and branch offices.
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22393 News Results
The SEC amended Regulation NMS in order to foster "a competitive environment for the dissemination of national market system information via a decentralized consolidation model with competing consolidators."
A broker-dealer settled NYSE charges for executing orders with more than one floor broker on the account of the same principal.
A broker-dealer settled NYSE charges for mishandling customer orders prior to the opening of a security.
A publicly traded company settled SEC charges for failing to disclose the nature of its reported profit growth and worsening business trends.