Undertaking doesn't preclude regulator's enforcement action, court finds
Firms not disclosing investments' negative ESG impact, Paris alignment
Another 10 firms sanctioned for extensive recordkeeping violations
Regulator aims for truth in advertising, seeks to combat greenwashing
Wedbush Securities fined for compliance failings
Firms make token effort to raise standards, cling to suitability, NASAA finds
Former firm provided reps with improper incentives, regulator alleged
Back-office snafu meant clients didn't get discounts on standard fees
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Regulators fined firms a total US$549 million for record-keeping failures