SEA 1934 Rule 15(b) – Global Relay Intelligence & Practice

SEA 1934 Rule 15(b)

Enforcement

SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder

September 25, 2024

The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.

Alexander Barzacanos, Julie DiMauro4 min read
Enforcement

FINRA disciplinary action update #41

December 14, 2023

Disciplinary decisions issued December 1 – 7, 2023.

Thomas Hyrkiel4 min read