SEA 1934 Rule 17a-4(b) – Global Relay Intelligence & Practice

SEA 1934 Rule 17a-4(b)

Enforcement

‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined

August 16, 2024

Three of the firms received credit for self-reporting.

Julie DiMauro4 min read
Enforcement

FINRA disciplinary action update 2024/13

April 12, 2024

Disciplinary decisions issued March 30 – April 5, 2024.

Thomas Hyrkiel2 min read