Biden Names Acting Chair of the SEC

January 25, 2021

Biden to Name MIT Professor and Former CFTC Chairman to Head SEC

January 13, 2021

SEC Obtains Asset Freeze Against California Couple to Stop Alleged Investment Fraud

January 12, 2021

SEC Charges Utah Company, its Principals, and Two Recidivists with Securities Fraud

January 11, 2021

SEC Obtains Judgment Against Adviser Who Stole Millions from Clients

January 6, 2021

FINRA Fines LPL $6.5 Million for “Supervisory Deficiencies”

January 5, 2021

SEC Charges New York Man with Defrauding Police and Firefighters in Ponzi Scheme

January 4, 2021

FINRA Fines and Suspends Former Broker for Falsifying and Forging Business Document

December 31, 2020

Transamerica to Pay $8.8 Million to Settle FINRA Charges

December 30, 2020

Voya to Pay $23 Million to Settle SEC Charges

December 28, 2020

SEC Adopts Modernized Marketing Rule for RIAs

December 23, 2020

Guest Contributor: What the Alts Industry Can Expect from Washington in 2021

December 21, 2020

FINRA Fines Three Cetera Firms for “Supervisory Deficiencies”

December 18, 2020

FINRA Suspends and Fines Former Broker for Borrowing Money from Client

December 14, 2020

FINRA Bars Longtime Broker for Selling Illegitimate Investments

December 10, 2020

SEC Updates Fund Valuation Practices

December 4, 2020

FINRA Fines and Suspends Former NYLife Broker for Forging Client Signatures

December 2, 2020

NASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives

December 2, 2020

FINRA Warns of Fake Phishing Emails

December 1, 2020

SEC Bars Adviser for Recommending Clients Invest $3 Million in Ponzi Scheme

November 30, 2020