The SEC and FINRA will hold their national compliance outreach program on July 27
Employee reported “hard-to-detect” breaches of securities laws
The tipster informed the regulator of securities violations and helped the SEC in its subsequent investigation
The enforcement action is in connection with investment schemes that involved companies paying for deceptive, promotional articles touting their stocks
T+2 brings the cycle in line with other global markets
Investor advocate to hold summit
The guidance aims to address the “unique issues” robo-advisors raise while the bulletin aims to alert investors to several issues they should consider
An agreement between U.S. state and federal securities regulators intends to ensure crowdfunding exemptions are enabling access to capital
The firm also admits to wrongdoing related to compliance failures surrounding the sale of risky inverse ETFs to retail clients
These funds hold non-traditional investments or use complex investment and trading strategies, which represent added risks to investors