Keep up to date on financial industry news and the regulatory authorities through these resource links:
- SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media
- SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media
- SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel
- SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel
- SEC Charges Husband of Energy Company Manager with Insider Trading
- SEC Charges Husband of Energy Company Manager with Insider Trading
- SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market
- SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market
- FINRA Announces Three New Governors on Its Board
- SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers
- SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers
- SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
- SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
- SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch
- SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch