FINRA News
- FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
- FINRA Releases Report on the Rise of RegTech
- CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education Program
- FINRA Announces Governor Elections
- FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
- FINRA Publishes First Annual Industry Snapshot
- Military Spouses Receive Fellowships to Conduct Financial Counseling
SEC News
- SEC Charges Investment Advisers With Defrauding Retail Advisory Clients
- Whistleblower Receives Award of Approximately $1.5 Million
- SEC Charges Citigroup for Dark Pool Misrepresentations
- SEC Monitoring Impact of Hurricane Florence on Capital Markets
- Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
- SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
- SEC Uses Data Analysis to Detect Cherry-Picking By Broker