NASD Regulation today announced a disciplinary settlement in which it fined Tower Square Securities, a subsidiary of Citigroup with 700 brokers, $200,000 and ordered the firm to make $4.3 million in ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

In industries where government oversight is extensive—such as financial services, pharmaceuticals, freight rail and insurance—the idea of industry self-regulation may seem unnecessary or redundant.

"The panel discusses the impact of AI on securities enforcement and regulation, particularly the SEC's intensified focus on misleading claims associated with AI technologies. Recent actions taken ...

Securities litigation is undergoing a quiet but consequential transformation. The rise of artificial intelligence and a shifting regulatory environment are changing not only the types of claims being ...