A broker-dealer and its CEO settled FINRA charges for associating with an individual who was subject to statutory disqualification and permitting that individual to engage in activities that required registration as a Municipal Securities Representative.

A broker-dealer settled FINRA charges for conducting a securities business while failing to maintain the required minimum net capital and failing to timely file notices of net capital deficiency with the SEC and FINRA.

The Congressional Research Service reviewed the SEC's recent proposal that would impact payment for order flow ("PFOF") by wholesalers with the aim of "bring[ing] greater competition in the marketplace for retail market orders."

An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.

An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.