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Arguments in Leidos Reg. S-K disclosure liability case cancelled
Leidos, Inc. and Indiana Public Retirement System have jointly asked the Supreme Court to remove their case from the Court’s oral argument calendar. It has been widely reported that the parties...
FINRA sanctions Wells Fargo brokers, issues reminders on sales of volatility-linked products
Broker-dealers that work for Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network must pay more than $3.4 million in restitution to customers to which they made unsuitable...
SEC to explain FINRA lifetime bar under Kokesh
The D.C. Circuit upheld a Commission finding that remedial action should be taken against a broker-dealer who misappropriated his employer’s funds in violation of rules issued by the Financial...
SEC proposes modernization of disclosure under Regulation S-K
The SEC will seek comments on a number of recommendations included in last year’s FAST Act-mandated report on modernizing and simplifying the disclosure requirements in Regulation S-K. Among...
Trump signs legislation to increase ETF research availability
President Trump has signed into law the Fair Access to Investment Research (FAIR) Act, which provides a safe harbor for investment fund research reports published by brokers and dealers regarding...