Regulatory Updates

Regulatory Updates provides news, insight and market knowledge on hot button regulatory and compliance issues impacting the financial services industry. Regulatory Updates is designed to assist its readers in navigating the changing regulatory and compliance landscape in the United States and globally.


FINRA Releases Paper Providing Perspectives on Customer Recovery

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released a paper providing perspectives on customer recovery of judgments and ...
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Alleged Perpetrator of Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties

The Securities and Exchange Commission today announced that the Miami-based businessman behind an alleged scheme involving investments in a Vermont-based ...
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FINRA Announces Comprehensive Changes to Advisory Committees, Including Creation of Two New Committees

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced a series of changes to its advisory committees – including ...
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Deutsche Bank to Repay Misled Customers

The Securities and Exchange Commission today instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay ...
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Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request

The Securities and Exchange Commission today announced a $1.658 billion budget request for fiscal year 2019 to support its core ...
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Six Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG

The Securities and Exchange Commission today announced charges against six certified public accountants – including former staffers at the Public Company ...
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SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology

The Securities and Exchange Commission today suspended trading in three companies amid questions surrounding similar statements they made about the ...
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New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation

First Uniform, National Standards to Protect Senior Investors WASHINGTON — Two FINRA rule changes took effect today addressing the financial ...
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Regulatory Updates


Regulatory Updates


Regulatory Updates

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