SEC Names Brett Redfearn as Director of the Division of Trading and Markets
The Securities and Exchange Commission today announced that Brett Redfearn has been named Directo...

SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Ce...

The future of risk management in the digital era
We, in collaboration with the Institute of International Finance (IIF), worked with more than 50 institutions around the world, including banks, regulators, and fintechs, to explore critical questions on the future of risk management. This report ...

Lawyers Charged With Assisting a Microcap Fraud Scheme
The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a m...

FINRA gets nod to streamline competency exams | On Wall Street
" A newly approved FINRA rule could result in more hiring within the industry. The SEC has approv...

FINRA Claims against Sandlapper Securities
Attorneys representing investors are investigating claims against a small broker dealer in South ...

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 defraud...