Month: January 2023

SEC 2024 Broker-Dealer Examination Priorities

Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research

Jan. 31, 2023 —The SEC’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the Commission’s February 2022 proposal regarding private fund advisers, and the role of equity research for smaller public […]

SEC 2024 Broker-Dealer Examination Priorities

SEC Issues $28 Million Award to Joint Whistleblowers

The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers’ detailed information prompted the… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]


Bloomberg to Pay $5 Million for Misleading Disclosures about Its Valuation Methodologies for Fixed Income Securities

Jan. 23, 2023 —The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. (Bloomberg) for misleading disclosures relating to its paid subscription service, BVAL, which provides daily price valuations for fixed-income securities to financial services entities. The SEC’s order finds that from at least 2016 through October […]

FINRA Office
Compliance Enforcement Investors


FINRA is the Financial Industry Regulatory Association and is the successor to the National Association of Securities Dealers. FINRA is authorized by Congress to regulate and oversee the broker-dealer industry, ensuring that it operates fairly and honestly. It oversees over 4,000 brokerage firms and more than 600,000 brokers across the […]