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.


SEC Announces Agenda for June 22 Investor Advisory Committee Meeting

The Securities and Exchange Commission today announced the agenda for the June 22 meeting of its Investor Advisory Committee. The ...
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SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement

The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal ...
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FINRA Hearing Panel Bars Registered Representative for Failing to Disclose Private Securities Transactions Totaling $100 Million in EB-5 Investments

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel barred an Irvine, California-based registered ...
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FINRA Issues Research on Securitized-Asset Liquidity

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Office of the Chief Economist today posted a new Research Note on ...
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SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws

The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its ...
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FINRA Bars Former Morgan Stanley Registered Representative for Using Nominee Accounts to Conceal $190 Million in Venezuelan Bond Trades

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered ...
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SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors

The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) today announced a joint educational webinar to ...
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SEC Files Charges in Trading Scheme Involving Confidential Government Information

The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about ...
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Regulatory Updates


Regulatory Updates


Regulatory Updates


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