FINRA News
- New Research: Many U.S. Investors With Low Financial Literacy Levels Are Ill Equipped to Manage Personal Finances, Especially Investments
- New Research: Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans
- FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes
- FINRA Foundation Awards 2019 Ketchum Prize to Dr. Olivia S. Mitchell
- FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures
- FINRA Board of Governors Appoints Peter Fisher as Newest Governor
- FINRA Bars Ami Forte and Charles Lawrence for Their Roles in Churning Accounts of Elderly Client with Dementia
SEC News
- SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud
- Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
- SEC Wins Jury Trial in Layering, Manipulative Trading Case
- SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee
- SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
- SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
- SEC Proposes Amendments to Modernize Shareholder Proposal Rule