Latest Regulation & legal articles

January 13, 2017

The week in GRC: GOP bills take aim at regulators, SEC releases exam priorities, and more

Read more

January 9, 2017

Finra issues annual list of exam and regulatory priorities

Read more

January 5, 2017

Kentucky-based company resolves related SEC and DoJ actions

Read more

January 3, 2017

Program widens minimum quoting and trading increment for some small-cap stocks

Read more

December 29, 2016

Finra says the firm had a system that allowed it to erroneously release certain securities from segregation

Read more

December 28, 2016

BDA wants the filing to more easily pair up broker-dealers and advisers 

Read more

December 21, 2016

The SEC says employee severance agreements included a ‘non-disparagement’ clause

Read more

December 19, 2016

Firms can use IAs to comply with CIP rule and new beneficial ownership rule

Read more

December 16, 2016

Heads of enforcement and corporation finance plus chief economist to leave shortly

Read more

December 5, 2016

SEC undertaking broad review of corporate disclosures to get rid of outdated and duplicative requirements

Read more

Page: 1 2 3 4 5 6 7 8 9 ... 26

We use cookies to make our website function properly and deliver our services. By using our website, you agree to our use of cookies, please click here to learn how to manage and delete cookies.