Two investment advisers settled SEC charges for failing to disclose to investors the firm's relationship with activist short publishers and inaccurately recording payments made to the publishers.

A firm that provides execution services for broker-dealers settled FINRA charges for short sale violations by failing to locate shares available for borrowing in connection with "net trading."

The Public Company Accounting Oversight Board sanctioned an accounting firm and three associated members for having insufficient audit quality control policies and for failing to timely file certain reporting forms.

Next week, we will run a series of articles as to the treatment of AI in various non-US jurisdictions, with one article running each day, from different jurisdictions outside of the US.

A firm that provides direct on-line trading to retail investors settled FINRA charges for failing to oversee the marketing of its social media influencers.