United States securities law Press Release

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12/10/2018 - 10:59
SEC Charges Agria Corporation and Executive Chairman With Fraud
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SEC
12/10/2018 - 08:36
Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
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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
11/29/2018 - 23:09
SCC ANNOUNCES FEE WAIVER FOR INVESTMENT ADVISER FIRMS
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SCC
11/28/2018 - 01:09
Two Securities Industry Veterans Join FTI Consultings Forensic Accounting & Advisory Services Practice
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FTI Consulting
11/15/2018 - 13:44
FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards
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FINRA
10/30/2018 - 07:52
FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures
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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
10/18/2018 - 15:20
The SEC Simplifies and Updates Disclosure Requirements
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Haynes and Boone
10/10/2018 - 00:53
Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC
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SEC
10/05/2018 - 10:40
Report from FINRA Board of Governors Meeting September 2018
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FINRA
10/02/2018 - 17:40
GREATER PHOENIX CHAMBER FOUNDATION LAUNCHES FINANCIAL SERVICES JOB READINESS PROGRAM
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GPCC
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 - 21:57
TDCI Assistant Commissioner Named President-Elect of Securities Association
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Tennessee Government
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
09/19/2018 - 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
09/13/2018 - 01:42
Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
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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
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 - 04:14
FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
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FINRA
08/17/2018 - 18:31
SEC Adopts Amendments to Simplify and Update Disclosure Requirements
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SEC
08/08/2018 - 21:59
FINRA Publishes First Annual Industry Snapshot
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FINRA
08/07/2018 - 10:34
Investment News: Regulation Best Interest raises bar on investor protection
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SIFMA
08/06/2018 - 04:03
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
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SEC
08/03/2018 - 19:08
SEC Proposes Simplified Guarantor and Pledgor Disclosures in Registered Debt Offerings
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Haynes and Boone
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
07/24/2018 - 15:54
SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings
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SEC
07/18/2018 - 14:07
SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements
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SEC
07/12/2018 - 05:26
FINRA Handles Record Volume of Market Activity through First Six Months of 2018
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FINRA
07/04/2018 - 19:26
FINRA Launches Enhanced Public Records Review
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FINRA
06/29/2018 - 15:16
SEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers
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SEC
06/28/2018 - 17:50
SIFMA Submits Testimony Raising Concerns with Unpaid Arbitration Legislation (S. 2499)
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SIFMA
06/28/2018 - 14:55
SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures
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SEC
06/28/2018 - 14:54
Firms Elect Securities America Financial Corporations Jim Nagengast to FINRA Board of Governors
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FINRA
06/26/2018 - 00:37
Morgan Stanley (NYSE: MS) today announced that Mary Schapiro has been elected to the Companys Board of Directors, effective
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Morgan Stanley
06/25/2018 - 21:48
RITE AID ANNOUNCES EFFECTIVENESS OF DEFINITIVE PROXY MATERIALS IN CONNECTION WITH PROPOSED MERGER WITH ALBERTSONS
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Rite Aid
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
06/07/2018 - 09:57
FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
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FINRA
06/04/2018 - 18:59
Inez H. Friedman-Boyce, Partner, Goodwin Procter LLP to Speak at The Knowledge Group’s Webcast
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KC-Events
06/04/2018 - 12:48
Vermont orders cease and desist to cryptocurrency company
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DFR Vermont
05/18/2018 - 09:59
FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
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FINRA
05/17/2018 - 08:14
Report from FINRA Board of Governors Meeting May 2018
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FINRA
05/16/2018 - 05:56
FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
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FINRA
05/14/2018 - 05:40
MEI Pharma Announces $75 Million Private Placement
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MEI Pharma
05/09/2018 - 06:07
One connection to the Live Webinar
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Minnesota Credi...
05/09/2018 - 05:02
Timberline Resources Closes Private Placement Financing
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Timberline Resources
05/08/2018 - 04:58
FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
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FINRA
04/24/2018 - 08:33
FINRA Progress Report on FINRA360 Highlights Significant Changes
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FINRA
04/16/2018 - 14:22
FINRA Names Timothy C. Scheve to Board of Governors
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FINRA
04/12/2018 - 09:47
FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
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FINRA
04/11/2018 - 08:50
Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
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FINRA
04/04/2018 - 15:53
TradeStation to Provide IPO Access through the ClickIPO App
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TradeStation Group