SEC, CFTC Sign Historic Cooperation Pact to Modernize U.S. Financial Markets Oversight

March 11, 2026

FINRA Suspends Former CCO Over Supervisory Failures involving GWG L Bonds

March 10, 2026

SEC Updates Enforcement Manual, Codifies Wells Process Reforms

March 2, 2026

A Costly Appetite: Former BofA Rep Suspended Over $6K in Meal Charges

February 16, 2026

FINRA: Taglich Brothers Violates Reg BI, Faces Statutory Disqualification

February 12, 2026

FINRA Fines St. Louis-Based Broker-Dealer $750K Over Texting, Discovery Violations

February 2, 2026

TPEG Fined $175K Over Marketing Materials, Failed Complaint Reporting

January 26, 2026

FINRA Suspends Houston Broker for Unauthorized Loans Following Hurricane Harvey

January 11, 2026

SEC 2026 Examination Priorities: What Financial Services Firms Need to Know

December 22, 2025

Atkins Unveils ‘Project Crypto’ to Clarify Token Classifications, Limit Overreach

November 21, 2025

FSI Letter Urges SEC to Reform Enforcement Practices, Citing ‘Regulation by Enforcement’ Risks

November 11, 2025

Advocates Urge Congress to Protect State Regulators’ Ability to Fight Fraud

November 4, 2025

FINRA Fines First Trust $10M for Exceeding Gift Limits, Falsifying Records

November 3, 2025

FINRA Fines Broker-Dealer $100K for Letting Suspended Rep Keep Working

October 30, 2025

FINRA Fines Broker-Dealer $250K for Customer Protection Rule Violations

October 26, 2025

FINRA Fines California Broker-Dealer for Reg BI Violations

October 22, 2025

SIFMA Urges SEC to Modernize Off-Channel Communications Rules

October 21, 2025

FINRA Fines N.Y. Brokerage $275K Over Inaccurate Books and Registration Failures

October 20, 2025

SEC Chair Announces ‘Wells Process’ Reforms, Expanding Disclosure and Response Rights

October 19, 2025

FINRA Fines NexPoint Securities $50K for Net Capital, Reporting Violations

October 15, 2025