FINRA News
- FINRA Appoints Scott W. Anderson as Head of Market Regulation and Transparency Services
- FINRA Announces Interim Progress of Voluntary 529 Plan Share Class Initiative
- FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans
- FINRA Board Appoints Deborah Bailey and Kathryn Ruemmler as Newest Governors
- FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded
- FINRA Publishes 2021 Report on FINRA’s Examination and Risk Monitoring Program
- New Research: Global Pandemic Brings Surge of New and Experienced Retail Investors Into the Stock Market
SEC News
- SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
- SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
- SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad
- SEC Investor Advisory Committee to Meet Remotely On March 11
- SEC Division of Examinations Announces 2021 Examination Priorities
- SEC Charges Seven Individuals for $45 Million Fraudulent Scheme
- SEC Awards Over $500,000 to Two Whistleblowers