SEC Order Approving a Proposed Rule Change, to Modify the Provisions Relating to Direct Listings on NYSE
Securities Trader Sentenced to 18 Months in Prison for Market Manipulation Scheme that Netted more than $17 Million in Illicit Profits (DOJ Release)
SEC Charges Ripple and Two Executives with Conducting $1.3 Billion Unregistered Securities Offering (SEC Release)
SEC Charges Former IIG Consultant for Role in IIG's Fraud (SEC Release)
Comptroller Pleads Guilty To Embezzling From Manhattan Financial Publishing Company (SEC Release)
SEC Awards Over $1.6 Million to Whistleblower (SEC Release)
Federal Court Orders North Carolina Man to Pay Over $255,000 in Futures and Forex Fraud Scheme (CFTC Release)
FINRA Fines and Suspends Rep For Role as Estate Beneficiary
In the Matter of Beth L. Klein, Respondent (FINRA AWC)
SEC Adopts Modernized Marketing Rule for Investment Advisers (SEC Release)
Statement on the Investment Adviser Marketing Final Rule by SEC Commissioner Hester M. Peirce
Statement on the New Marketing Rule for Investment Advisers by SEC Commissioner Elad L. Roisman
Investment Adviser Marketing - Past Proposals are Not Necessarily Indicative of Future Adoptions (Statement by SEC Commissioner Allison Herren Lee and Commissioner Caroline A. Crenshaw)
