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RegComp Alert: Proposed Rule Amendment to Electronic Recordkeeping Requirements (Rule 17a-4) for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
December 3, 2021
Broker Dealer Alert: FINRA Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags
December 3, 2021
Broker Dealer Alert: 2021 Small Firm Conference, a Fireside Chat with Robert Cook and Greg Ruppert
December 3, 2021
FINRA Enforcement: Douglas J. Rosenberg (Respondent) General Securities Representative CRD No. 3214215 Violation of FINRA Rules 2111 and 2010 (Case ID 2019063821605)
December 3, 2021
New Rule Adoption: SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act
December 3, 2021
SEC Enforcement: Charged Investment Adviser and Principal with Disclosure and Compliance Failures
December 3, 2021
SEC Enforcement: Executive Charged by SEC for Financial Fraud Scheme Sentenced to 13 Years in Prison in Parallel Criminal Case (Litigation Release No. 25254)
December 3, 2021
Proxy Rule: The Securities and Exchange Commission is Proposing Amendments to the Federal Proxy Rules Governing Proxy Voting Advice
December 3, 2021
Proposed Rule Change: Notice of Filing To Modify the Definition of a Retail Order for the Retail Price Improvement Program
December 3, 2021
SEC Chair Gensler Signals SEC Policies for Private Funds
November 23, 2021
CFTC Enforcement: Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations
November 23, 2021
CFTC Enforcement: Charges New Jersey Resident and His Company with Fraudulent Solicitation, Misappropriation, and Violating Consent Order
November 23, 2021
CFTC Enforcement: Federal Court Orders Florida Man and Foreign Defendants to Pay $7 Million for Role in Fraudulent Binary Options and Digital Asset Scheme
November 23, 2021
CFTC News: Awards Approximately $1 Million to Two Whistleblowers
November 23, 2021
Article: FINRA Proposes $100 Annual Fee to Ensure Industry Reentry
November 23, 2021
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