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Free eBook:Enforcement Actions

The SEC's enforcement activity for Q2-2023 showcases a continuation of trends from the previous two quarters. In line with its commitment to transparency and investor protection, the SEC consistently prioritized Sections 13 and 17 across these quarters. (FINRA) continued to prioritize Rule 2010. In the ever-evolving landscape of financial regulations, financial institutions and compliance officers continue to navigate the intricate path of adherence to rules and maintaining market integrity. All while, the Federal Trade Commission (FTC) continued its rigorous enforcement efforts in Q2-2023, with a total of 25 complaints filed, emphasizing Section 5 of the FTC Act.

Learn more about how the latest enforcement and regulations across agencies from FINRA, FTC and the SEC have impacted compliance teams across the board. Download what you need to know to manage regulatory change in our newest eBook, download today!

In this eBook, we uncover and investigate the latest enforcement actions, trends, and what we learned, including:

  • SEC Issues $580 million in penalties in Q2; Sections 10, 15, and 17 of the Securities Act again top priorities
  • The ever-evolving landscape of financial regulations, financial institutions and compliance officers continue to navigate the intricate path of adherence to rules and maintaining market integrity.
  • The FTC’s determination to ensure a competitive marketplace and prevent anti-competitive behavior that could adversely impact consumers and businesses alike.
  • The consistent emphasis on Prohibition Orders and the imposition of Civil Money Penalties in Q2-2023 underline the FDIC’s commitment to preventing non-compliant behavior and encouraging adherence to industry standards.
  • & More..!

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