- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Democratic senators want FINRA to detail its interpretation of the SEC's proposed standards of conduct rule. FINRA will play a large role in implementing and enforcing the forthcoming rule package.
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The general public, ahead of Tuesday’s deadline for public comment, has offered constructive criticism of the SEC’s Regulation Best Interest.
Elon Musk, the world’s wealthiest person and the apparent right-hand man of incoming U.S. president Donald Trump, has been taken to court for a third time by the Securities and Exchange Commission for allegedly violating securities law.
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
