FINRA News
- FINRA Fines Barclays Capital Inc. $2 Million for Best Execution Violations
- 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
- Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research
- 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