Hameed Shuja4 min read
Julie DiMauro2 min read
Hameed Shuja3 min read
Order against DoNotPay prohibits it from making deceptive claims and requires it to notify past subscribers of the deficient nature of its service.
Thomas Hyrkiel1 min read
The share price of 39 companies was swayed in order to generate profits for members of the group.
Thomas Hyrkiel1 min read
Disciplinary decisions issued February 1 – 7, 2025.
Thomas Hyrkiel1 min read
First FINRA enforcement action related to the rules governing the permissible use of customers’ securities results in censure and $3.2m fine.
Thomas Hyrkiel, Julie DiMauro5 min read
Industry concerns, including potential unintended consequences for the markets, cited as reason for not setting an effective date for the changes.
Thomas Hyrkiel, Julie DiMauro2 min read
Disciplinary decisions issued January 25 – 31, 2025.
Thomas Hyrkiel4 min read
Latest Dear CEO letter addresses themes of innovation, competition and security.
Hameed Shuja, Thomas Hyrkiel4 min read
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
Thomas Hyrkiel4 min read