The SEC released the agenda for the Nov. 4 meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). The meeting ...
CN Editor
November 04, 2019
SEC CHARGES INTERNATIONAL ACCOUNTING FIRM PRAGER METIS WITH HUNDREDS OF AUDITOR INDEPENDENCE VIOLATIONS
SEC CHARGES D.E. SHAW WITH VIOLATING WHISTLEBLOWER PROTECTION RULE
SEC CHARGES 10 FIRMS WITH WIDESPREAD RECORDKEEPING FAILURES
SEC CHARGES TWO CREDIT RATING AGENCIES, DBRS AND KBRA, WITH LONGSTANDING RECORDKEEPING FAILURES
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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