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- FINRA Handles Record Volume of Market Activity through First Six Months of 2018
- FINRA Launches Enhanced Public Records Review
- Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA Board of Governors
- FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm Expelled from FINRA Membership for Allowing Broker to Work While Suspended
- FINRA Announces Initiative to Transform CRD, Other Registration Systems
- FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
- FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
- SEC Charges BGC Financial for Failure to Preserve Documents and Maintain Accurate Books and Records
- SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans
- SEC Files Charges in Busted Microcap Schemes
- SEC Issues Agenda for July 16 Meeting of the Fixed Income Market Structure Advisory Committee
- SEC Files Additional Charges in Fitbit Stock Manipulation Scheme
- Former CEO and CFO of ITT Barred and Ordered to Pay Penalties
- SEC Charges Credit Suisse With FCPA Violations
- Atkins Discusses FinCEN CDD Rule on FINRA AML Panel
- AML Surveillance – Major FINRA AML Case
- Mitch Atkins Presenting at FINRA South Region Conference
- Epic BD AML Compliance Failure Yields Another Record Fine
- FINRA Tolerance for AML Compliance Failures Fading
- Atkins in Forbes: Email and Social Media Compliance