FINRA News
- FINRA Names Timothy C. Scheve to Board of Governors
- FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
- Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
- FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize Personal Finances
- Across Generations, Women Trail Men in Financial Knowledge – but the Gap May Be Closing
- FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
- Report from FINRA Board of Governors Meeting – March 2018
SEC News
- Douglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
- SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
- Fee Rate Advisory #3 for Fiscal Year 2018
- SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
- SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
- SEC Awards Whistleblower More Than $2.1 Million
- SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors