Regulator reports results of first supervisory reviews at planner/advisor titling organizations
SRO brings first case following compliance review targeting firms' use of online influencers
Changes come in the wake of independent review of SRO's arbitration program
Firms use forced arbitration to discourage clients from pursuing complaints
Compliance review finds potential violations in 70% of firms' messages
SRO sees crypto, AI and new account fraud among emerging issues
Study of firms' plans for advanced tech will inform regulation and oversight
Firms to pay US$2.6 million, including US$1 million in client restitution
BofA fined over anti-spoofing supervision in U.S. Treasury markets
SEC approves SRO rules to facilitate work-from-home supervision