FINRA News
- FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs
- Report from FINRA Board of Governors Meeting – May 2019
- FINRA Sanctions AXA Advisors, LLC Approximately $772,000 for Misrepresentations to 401(k) Plan Sponsors and Participants
- FINRA Orders Buckman, Buckman & Reid to Pay Approximately $205,000 in Restitution to Customers for Supervisory Failures Involving Excessive and Unsuitable Trading
- FINRA Forms Office of Financial Innovation, Announces Haimera Workie as Head
- SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
- FINRA Foundation and ALA Announce 50 Public Libraries to Host Thinking Money for Kids Traveling Exhibition
SEC News
- SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors
- SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement
- Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud
- SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
- SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
- SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
- SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud