Securities regulation in the United States Press Release

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12/12/2018 - 11:03
Executives Settle ICO Scam Charges
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SEC
12/10/2018 - 08:07
Sun Life Financial Announces Automatic Repurchase Plan Pursuant to Its Normal Course Issuer Bid
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Sun Life Financial
12/07/2018 - 01:35
FINRA Publishes 2018 Report on Examination Findings
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FINRA
12/03/2018 - 03:49
Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service
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SEC
11/29/2018 - 10:23
Avery Dennison Prices $500 Million Senior Notes Offering
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Avery Dennison
11/28/2018 - 17:09
Cardero Extends Private Placement Closing
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Cardero Resource
11/16/2018 - 12:46
Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities
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SEC
11/15/2018 - 13:44
FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards
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FINRA
10/29/2018 - 17:06
Anixter International Inc. Announces the Pricing of a $250 Million Senior Note Offering by Anixter Inc.
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Anixter
10/23/2018 - 10:11
SEC Announces $23.8 Million Settlement with the Self-Proclaimed Frack Master
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SEC
10/22/2018 - 09:57
SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration
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SEC
10/11/2018 - 10:59
PepsiCo Announces Offers to Exchange Certain Outstanding Notes for New Notes
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Pepsico
10/10/2018 - 18:27
SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
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SEC
10/05/2018 - 10:40
Report from FINRA Board of Governors Meeting September 2018
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FINRA
10/05/2018 - 02:03
Ballard Closes Transaction to Divest Non-Core Power Manager Business
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Ballard
10/03/2018 - 15:39
SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts
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SEC
10/02/2018 - 03:04
Honeywell Board Of Directors Declares Spin-Off Dividend Of Resideo Shares
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Honeywell Inter...
10/01/2018 - 23:24
Intelsat Announces Proposed Offering of $700 Million of Intelsat Jackson 8.500% Senior Notes due 2024
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Intelsat
10/01/2018 - 09:49
FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
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FINRA
10/01/2018 - 08:29
FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
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FINRA
09/27/2018 - 21:38
Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading
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SEC
09/26/2018 - 21:58
FINRA Launches New SIE Exam to Streamline Examination Process for Prospective Candidates Entering the Securities Industry
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FINRA
09/26/2018 - 20:24
SEC Charges Bitcoin-Funded Securities Dealer and CEO
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SEC
09/25/2018 - 05:51
SEC Announces First Enforcement Actions Against Unregistered Investment Adviser and Broker-Dealer in Cryptocurrency Sale
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Haynes and Boone
09/20/2018 - 23:25
SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
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SEC
09/19/2018 - 22:05
FINRA Foundation Awards 2018 Ketchum Prize to Dr. Annamaria Lusardi
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FINRA
09/19/2018 - 12:34
FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Florence
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FINRA
09/19/2018 - 09:57
Nashville Investment Advisers Registration Revoked, Penalized $2,000
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Tennessee Government
09/18/2018 - 02:56
InterXion Holding N.V. Announces Private Offering of 200,000,000 of Its 4% Senior Notes Due 2025
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InterXion
09/13/2018 - 07:42
Tieto Corporation publishes listing prospectus for EUR 100 million notes
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Tieto
09/11/2018 - 12:15
SEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers
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SEC
09/11/2018 - 07:55
FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
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FINRA
09/10/2018 - 06:57
FINRA Releases Report on the Rise of RegTech
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FINRA
09/06/2018 - 02:05
CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education Program
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FINRA
09/05/2018 - 23:01
Garrett Motion Inc. Hosts Investor Conference, Highlights Business and Technology Growth Drivers
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Honeywell
09/05/2018 - 20:17
Tieto Corporation issues EUR 100 million senior notes
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Tieto
09/05/2018 - 12:11
Honeywell Board of Directors Declares Spin-off Dividend of Garrett Shares
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Honeywell Inter...
09/05/2018 - 09:31
Chevron Recommends Stockholders Reject Mini-Tender Offer by TRC Capital Corporation
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Chevron
08/31/2018 - 04:49
VEONs transaction to sell 50% of Italy JV to CK Hutchison receives final regulatory approval by the European Commission
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VimpelCom
08/27/2018 - 22:27
FINRA Announces Governor Elections
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FINRA
08/21/2018 - 11:17
ACI Worldwide Announces Successful Completion of Offering of 5.750% Senior Notes due 2026
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ACIWorldwide
08/20/2018 - 00:00
Cree Announces Offering of $500 Million of Convertible Senior Notes
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Cree
08/13/2018 - 07:55
Fidelity National Financial, Inc. Closes Issuance of $450 Million of 4.50% Senior Notes Due 2028
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Fidelity Nation...
08/08/2018 - 21:59
FINRA Publishes First Annual Industry Snapshot
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FINRA
08/08/2018 - 01:02
Attorney General Underwood Leading Coalition Of 17 AGs Urges SEC To Toughen Protection Of Retail Investors
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New York Attorn...
08/07/2018 - 00:29
ACI Worldwide Announces Upsize and Pricing of Senior Notes
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ACIWorldwide
08/06/2018 - 22:44
21st Century Fox Publishes Offer Document for Previously Announced Cash Offer for Sky
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21st Century Fox
08/06/2018 - 19:30
A.G. Underwood Announces Appointment Of Cynthia Hanawalt As New Investor Protection Bureau Chief
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New York Attorn...
08/06/2018 - 08:07
ACI Worldwide, Inc. Announces Private Offering of Senior Notes
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ACIWorldwide
08/02/2018 - 11:21
TENNECO TO WEBCAST PRESENTATION AT THE J.P. MORGAN AUTO CONFERENCE
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Tenneco Automotive
07/30/2018 - 05:54
FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
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FINRA
07/25/2018 - 00:20
Report from FINRA Board of Governors Meeting July 2018
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FINRA
07/18/2018 - 15:44
j2 Global Completes Private Placement of $650 Million Senior Unsecured Notes
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j2Global
07/18/2018 - 00:28
TransAlta Announces $345 Million Financing and the Early Redemption of $400 Million of Medium Term Notes
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TransAlta
07/04/2018 - 19:26
FINRA Launches Enhanced Public Records Review
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FINRA
07/03/2018 - 17:57
CFTC Chairman Giancarlo Names Matthew A. Daigler Senior Counsel
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CFTC
06/28/2018 - 19:15
Tenable Files Registration Statement for Proposed Initial Public Offering
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Tenable
06/25/2018 - 16:31
j2 Global Announces Proposed $550 Million Senior Unsecured Debt Offering
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j2Global
06/17/2018 - 18:14
FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm Expelled from FINRA Membership for Allowing Broker to Work While Suspended
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FINRA
06/14/2018 - 08:09
FINRA Announces Initiative to Transform CRD, Other Registration Systems
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FINRA