The CTA broadens reporting to U.S. authorities of information—and personal identification documentation—concerning beneficial ownership of nearly all U.S. companies as well as foreign companies doing business in America.
The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors Advocate Bar Association.
Utah-based Alpine Securities is challenging the constitutionality of FINRA. Given recent judicial decisions from more conservative courts, some legal scholars think it may succeed.
Massachusetts Secretary of the Commonwealth William Galvin sent inquiry letters to Morgan Stanley, JP Morgan Chase and E*Trade, among others, asking about their supervisory policies and procedures for artificial intelligence.