The SEC instituted two related enforcement actions against Nomura Securities International Inc., which has agreed to repay approx...
CN Editor
July 16, 2019
CFTC ORDERS GOLDMAN SACHS TO PAY $3 MILLION FOR SUPERVISION FAILURES AND MATERIAL OMISSIONS IN A LETTER TO THE CFTC"S DIVISION OF ENFORCEMENT
SEC SPOTLIGHTS DUE DILIGENCE DURING WORLD INVESTOR WEEK 2023
CFTC ORDERS INTERACTIVE BROKERS TO PAY $20 MILLION FOR RECORDKEEPING AND SUPERVISION FAILURES FOR WIDESPREAD USE OF UNAPPROVED COMMUNICATION METHODS
SEC CHARGES INTERNATIONAL ACCOUNTING FIRM PRAGER METIS WITH HUNDREDS OF AUDITOR INDEPENDENCE VIOLATIONS
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CIRO ALLEGES PI FINANCIAL CORP REP FAILED IN HIS GATEKEEPER OBLIGATIONS
COMPETENCY PROFILES FOR APPROVED PERSONS (INVESTMENT DEALERS)
SEC CHARGES VIRTU FOR FALSE AND MISLEADING DISCLOSURES RELATING TO INFORMATION BARRIERS
CIRO ADVISORY COMMITTEES