Review aims to restore trust in market infrastructure
Compliance review found violations due to weaknesses in policies and procedures
Proposals aim to ease regulatory burden, enhance investor insight
Sanctions follow findings of 2023 review, which flagged four violations
Regulator outlines examination priorities for fiscal 2026
Finfluencers warned, charged, over unregistered activity
SRO proposes rule changes that give firms time for appeals to SEC
Regulator proposes broad prohibition on trading in connection with offerings
From working groups to consulting with regulators, brokerages want to help smooth client conversations
Federal financial regulator goes from six divisions to four in new org chart