2020-01-22 11:12:38| Mondaq.Com
An SEC proposal to amend the definitions of "accredited investor" in Rule 501(a) of Regulation D and "qualified institutional buyer" under Rule 144A.
2020-01-22 11:11:42| Mondaq.Com
In its January disciplinary report, FINRA recapped actions.
2020-01-22 11:11:08| Mondaq.Com
A broker-dealer settled FINRA charges for misreporting short positions in equity securities from March 31, 2016 to October 14, 2016.
2020-01-22 11:10:02| Mondaq.Com
A broker-dealer settled FINRA charges for failing to take reasonable measures to prevent fraudulent wire transfers from customers' accounts.
2020-01-22 11:09:11| Mondaq.Com
FINRA proposed amending Rule 11900 to provide an exception to the general requirement that a clearing firm must clear OTC transactions in corporate debt securities through a registered clearing agency.