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FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers
December 24, 2024
Statement on Daily Computation of Customer and Broker-Dealer Reserve Requirements under an Amended Broker-Dealer Customer Protection Rule
December 24, 2024
SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule
December 24, 2024
SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings
December 24, 2024
SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico
December 24, 2024
Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports
December 24, 2024
Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC
December 24, 2024
SEC Modernizes the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934
December 24, 2024
SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations
December 14, 2024
SEC Chair Gensler to Depart Agency on January 20
December 14, 2024
SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud
December 14, 2024
SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports
December 14, 2024
SEC Announces Enforcement Results for Fiscal Year 2024
December 14, 2024
SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud
December 14, 2024
SEC Charges Ian Bell with Defrauding Professional Athletes and Others in Fraudulent Day-Trading Scheme
December 14, 2024
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