The Securities and Exchange Commission released a Risk Alert on Tuesday that reported flaws in disclosures by mutual funds and exchange-traded funds, according to ThinkAdvisor. The SEC said its Division of Examinations had conducted a series of exams of more than 50...
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Month: November 2021
Recent Posts
- Insights for investors on what it means to be regulated by FINRA
- Former Nuveen trader asks for judge for leniency in insider trading sentence
- FINRA answers members’ frequently asked questions on advertising regulation
- FINRA provides guidance for firms on new rule involving remote inspections
- FINRA penalizes SoFi $1.1 million for violations involving fraud prevention
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