FINRA Requests Comment on FINRA Rules Impacting Capital Formation
The ability of small and large businesses to raise capital efficiently is critical to job creatio...

DoL Rule Under Attack. But from Where?
Today's quiz. Who said this last week? I have a very nuanced view of the DoL fiduciary duty rule:...

SEC Wants All Investors to Access High Risk Investments.
In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for...

SEC News - Stolen Funds, Ponzi Scheme, Overbilling Clients
Financial Adviser Charged With Stealing From Client Accounts An investment adviser representative...

SEC News - Internalization, Miscalculations, and FCPA Violations
Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades The SEC’s order...

SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charges
Businessman Settles Charges of Fraudulent EB-5 Offering A Florida-based businessman has agreed to...

SEC News - Misleading Investors, Whistleblower Award, Insider Trading
PIMCO Settles Charges of Misleading Investors About ETF Performance Investment management firm Pa...

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