FINRA News
- Report From FINRA Board of Governors Meeting – September 2020
- New Research: U.S. Investors Unfazed by Pandemic-Related Market Volatility
- FINRA to Hold Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours
- FINRA Sanctions Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC More Than $2 Million for Supervisory Violations Related to Variable Annuity Switches
- FINRA and the FINRA Investor Education Foundation Promote World Investor Week 2020
- New Research: Two FINRA Foundation Studies Explore Links among Financial Knowledge, Cognitive Health, and Financial Decision Making in Older Americans
- FINRA Foundation Awards 2020 Ketchum Prize to Michael Morris
SEC News
- SEC Updates Auditor Independence Rules
- SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS
- SEC and CFTC to Hold a Joint Open Meeting on October 22
- SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
- Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality
- SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
- SEC Awards $800,000 to Whistleblower