FINRA filed a proposed rule change with the SEC that would clarify the application of FINRA rules on ex-dividend dates.
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22403 News Results
The National Futures Association permanently barred an "associated person" to a commodity trading advisor from membership or acting as a principal for any NFA member.
The SEC charged seven individuals with insider trading in a scheme involving "tipping and trading on inside information about dozens of impending corporate mergers and acquisitions, and tender offers."
The SEC Division of Trading and Markets granted limited exemptive relief to a broker-dealer from SEC rules regarding the custody of client cash intended for the purchase of mutual fund shares.