FINRA News
- Report from FINRA Board of Governors Meeting – December 2020
- FINRA Board Appoints Deborah Bailey and Kathryn Ruemmler as Newest Governors
- FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded
- New Research: Financial Literacy Is Significant Indicator of Positive Future Financial Outcomes and Behaviors
- FINRA Announces Interim Progress of Voluntary 529 Plan Share Class Initiative
- Maintaining Over $100 in Savings Linked to Increased Likelihood of Financial Stability in Lower Income Households
- FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans
SEC News
- Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure
- Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service
- What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4
- Fee Rate Advisory #2 for Fiscal Year 2021
- SEC Awards Nearly $600,000 to Whistleblower
- Sagar Teotia to Conclude Tenure as SEC Chief Accountant
- Acting Enforcement Director Marc P. Berger to Depart the Commission