FINRA News
- FINRA Launches Innovation Outreach Initiative
- FINRA Issues Research on Securitized-Asset Liquidity
- FINRA Hearing Panel Bars Registered Representative for Failing to Disclose Private Securities Transactions Totaling $100 Million in EB-5 Investments
- FINRA Bars Former Morgan Stanley Registered Representative for Using Nominee Accounts to Conceal $190 Million in Venezuelan Bond Trades
- FINRA Offers Continuing Education Courses to CFP Professionals
- Firms Elect Large-Firm Governor to FINRA Board of Governors
- FINRA Reviews Rules on Outside Business Activities and Private Securities Transactions
SEC News
- Additional Charges Announced in Case Involving Pre-Released ADRs
- Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
- Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office
- Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office
- Keith Cassidy Named Associate Director of Technology Controls Program in OCIE
- SEC Announces Agenda for June 22 Investor Advisory Committee Meeting
- SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement