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Liquidnet will pay $250,000 and accept a censure to resolve FINRA charges related to six years of inaccurate execution-quality reports under Regulation NMS Rule 605. The case marks the firm’s second censure in four years for similar order-execution reporting issues and highlights ongoing regulatory scrutiny of broker-dealer disclosures.
The Australian Securities and Investments Commission is consulting on remaking two pieces of AFS licence relief that support Australia's CFD industry. The largely technical proposals would extend existing exemptions to 2031 and modestly broaden dollar disclosure relief to certain discretionary mutual funds.
More than two dozen exchange-traded funds tied to prediction markets are facing delayed launches as the U.S. Securities and Exchange Commission seeks additional information from issuers. Products from Roundhill Investments, GraniteShares and Bitwise, originally expected to debut this week, remain under review.
The FCA has charged Shaun Lawrence for allegedly operating as a mortgage broker without authorisation. The regulator claims Lawrence breached the Financial Services and Markets Act by arranging regulated mortgage contracts after being banned from regulated roles.
