The moderator of an online stock trading forum is settling charges from the U.S. Securities and Exchange Commission (SEC) for his...
CN Editor
May 29, 2023
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
EXEC USED EX-WIFE"S ACCOUNTS FOR INSIDER TRADING: SEC
INVESTOR CLASS-ACTION SETTLEMENT APPROVED
FIRM LOGGED INTO ACCOUNTS TO APPROVE FEES: SEC
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE