FINRA News
- FINRA Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in Restitution to Customers Whose Accounts Were Excessively Traded
- FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement
- FINRA Announces Governor Elections and Appointments
- FINRA Foundation Honors Top Student Researchers for Advancing Understanding of Financial Capability in the United States
- FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees Over Seven-Year Period
- Joint Statement on Broker-Dealer Custody of Digital Asset Securities
- FINRA Announces Final Results of Mutual Fund Waiver Initiative
SEC News
- SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
- Chandler Smith Costello Named Deputy Director for Public Affairs
- SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
- SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
- SEC Monitoring Impact of Hurricane Dorian on Capital Markets
- SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
- SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players