Leila Shaver and others talk on success and diversity in the industry and how the two...
On November 2nd, 2020, the Securities and Exchange Commission (“SEC”) Division of Enforcement...
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast...
Compliance in the Internet Age: Understanding Advertising, Fees, and Suitability Requirements Part...
The Securities and Exchange Commission’s Enforcement Division issued a report highlighting its...
FINRA Rule 2273 requires delivery of a FINRA-created Educational Communication by the recruiting...
Detecting and deterring manipulation remains a critical priority for FINRA. FINRA has amended its...
Since its inception in 2011, the SEC has received over 14,000 tips from individuals in all 50...
