FINRA News
- FINRA Foundation Announces 2022 Military Spouse Fellows
- Firms Elect Edward Jones’ Penny Pennington to FINRA Board of Governors
- FINRA Launches Machine-Readable Rulebook Initiative
- FINRA Creates Industry Diversity Advisory Committee
- FINRA Foundation Partners With Girl Scouts of the USA to Launch New Financial Empowerment Programming
- FINRA Promotes Jonathan Sokobin to Executive Vice President and Head of the New Office of Regulatory Economics and Market Analysis
- New FINRA Foundation Research Examines Changing Investor Demographics, Preferences and Attitudes
SEC News
- SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel
- Silvestre Fontes Named Director of Boston Regional Office
- SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
- SEC Issues $28 Million Award to Joint Whistleblowers
- Fee Rate Advisory #2 For Fiscal Year 2023
- Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities
- SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets
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