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 Hearing Panel Bars Broker for Defrauding Elderly, Blind Customer

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel barred broker Hank Mark ...
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Petroleum Engineer Settles Charges of Insider Trading Ahead of Oil Discovery Announcement

A petroleum engineer who worked at Texas-based energy company Apache Corporation has agreed to settle SEC charges that he conducted ...
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Millennium Settles Charges of Illegal Short Selling in Advance of Stock Offerings

Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S ...
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SEC Enforcement Division Issues Report on Priorities and FY 2017 Results

In its ongoing efforts to protect Main Street investors, the Securities and Exchange Commission’s Enforcement Division today issued a report ...
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Order Routing Conflicts Targeted Exams

FINRA is conducting a sweep reviewing for potential conflicts from broker-dealers accepted payment for order flow and rebates. Below is ...
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Day Trader Charged in Brokerage Account Takeover Scheme

The Securities and Exchange Commission today charged a day trader based in the Philadelphia area with participating in a scheme ...
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FINRA Orders Wells Fargo Broker-Dealers to Pay $3.4 Million in Restitution and Reminds Firms of Sales Practice Obligations for Volatility-Linked Products

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Wells Fargo Clearing Services, LLC and ...
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SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds

The Securities and Exchange Commission today charged a businessman and two companies with defrauding investors in a pair of so-called ...
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Regulatory Updates


Regulatory Updates


Regulatory Updates


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