FINRA fined a broker-dealer $5.5 million and ordered the firm to pay affected customers at least $6 million for disseminating inaccurate equity research information.
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The SEC released a list of its 10 most popular Investor Bulletins of 2017.
The SEC fined a broker-dealer nearly $3 million for violating custody requirements and related supervisory failures.
The SEC charged a New Jersey-based attorney and a New York-based accountant with securities violations for aiding and abetting a fraudulent scheme to misappropriate funds from a charitable foundation.
The SEC published new guidance to facilitate public disclosure of the accounting impacts of the Tax Cuts and Jobs Act.