Commentary by Steven Lofchie
A broker-dealer firm settled FINRA charges for causing registered representatives from other firms to disclose nonpublic personal customer information to a third-party vendor.
News & Insights
22393 News Results
Commentary by Steven Lofchie
The Treasury Department issued an interim final rule that "establishes a fee for parties filing a formal written notice of a transaction for review by the Committee on Foreign Investment in the United States.”
CFTC Commissioner Brian D. Quintenz announced that he will not seek re-nomination.
The SEC awarded $18 million to a whistleblower for providing information that led to a successful enforcement action.
A Federal Reserve Board interim final rule to simplify reserve requirements by temporarily eliminating transfer limits on savings deposits was published in the Federal Register.