FINRA News
- Report from FINRA Board of Governors Meeting – June 2020
- FINRA Publishes 2020 Industry Snapshot
- New Research: FINRA Foundation Examines Financial Capability of Women Behind Bars
- FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds
- SEC, MSRB and FINRA to Hold Compliance Outreach Program for Municipal Advisors
- FINRA Announces Passing of Thomas Gira, Executive VP, Market Regulation and Transparency Services
- Eileen Murray Elected Chairperson of FINRA Board of Governors
SEC News
- Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures
- SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme
- SEC Charges CEO and Company With Defrauding First Responders and Others Out of Millions
- Small Business Capital Formation Advisory Committee Aug. 4 Meeting to Focus on How Capital Markets Are Serving Underrepresented Founders
- SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director
- SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators
- Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act