The SEC charged a broker-dealer for failing to take action against a registered representative who was conducting a pump-and-dump scheme.
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22403 News Results
The National Futures Association reminded members of their ongoing obligation to update the firm-level section of the annual questionnaire to reflect virtual currency transactions.
The Consumer Financial Protection Bureau issued a Request for Information on consumer financial laws previously vested in other federal agencies ("inherited regulations").
FINRA and the MSRB updated FAQs regarding confirmations for fixed-income transactions.
A Canadian gold mining corporation agreed to settle SEC charges that the company failed to maintain adequate internal controls sufficient to prevent and detect illegal payments by two subsidiaries.