United States securities law Press Release

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09/13/2018 - 02:42
Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
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SEC
09/11/2018 - 08:55
FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
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FINRA
09/10/2018 - 07:57
FINRA Releases Report on the Rise of RegTech
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FINRA
09/06/2018 - 03:05
CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education Program
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FINRA
08/27/2018 - 23:27
FINRA Announces Governor Elections
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FINRA
08/21/2018 - 12:17
ACI Worldwide Announces Successful Completion of Offering of 5.750% Senior Notes due 2026
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ACIWorldwide
08/20/2018 - 05:14
FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
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FINRA
08/17/2018 - 19:31
SEC Adopts Amendments to Simplify and Update Disclosure Requirements
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SEC
08/08/2018 - 22:59
FINRA Publishes First Annual Industry Snapshot
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FINRA
08/07/2018 - 11:34
Investment News: Regulation Best Interest raises bar on investor protection
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SIFMA
08/06/2018 - 05:03
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
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SEC
08/03/2018 - 20:08
SEC Proposes Simplified Guarantor and Pledgor Disclosures in Registered Debt Offerings
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Haynes and Boone
07/30/2018 - 06:54
FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
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FINRA
07/25/2018 - 01:20
Report from FINRA Board of Governors Meeting July 2018
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FINRA
07/24/2018 - 16:54
SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings
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SEC
07/18/2018 - 15:07
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 - 06:26
FINRA Handles Record Volume of Market Activity through First Six Months of 2018
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FINRA
07/04/2018 - 20:26
FINRA Launches Enhanced Public Records Review
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FINRA
06/29/2018 - 16:16
SEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers
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SEC
06/28/2018 - 18:50
SIFMA Submits Testimony Raising Concerns with Unpaid Arbitration Legislation (S. 2499)
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SIFMA
06/28/2018 - 15:55
SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures
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SEC
06/28/2018 - 15:54
Firms Elect Securities America Financial Corporations Jim Nagengast to FINRA Board of Governors
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FINRA
06/26/2018 - 01:37
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 - 22:48
RITE AID ANNOUNCES EFFECTIVENESS OF DEFINITIVE PROXY MATERIALS IN CONNECTION WITH PROPOSED MERGER WITH ALBERTSONS
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Rite Aid
06/17/2018 - 19:14
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 - 09:09
FINRA Announces Initiative to Transform CRD, Other Registration Systems
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FINRA
06/07/2018 - 10:57
FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
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FINRA
06/04/2018 - 19:59
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 - 13:48
Vermont orders cease and desist to cryptocurrency company
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DFR Vermont
05/18/2018 - 10:59
FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
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FINRA
05/17/2018 - 09:14
Report from FINRA Board of Governors Meeting May 2018
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FINRA
05/16/2018 - 06:56
FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
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FINRA
05/14/2018 - 06:40
MEI Pharma Announces $75 Million Private Placement
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MEI Pharma
05/09/2018 - 07:07
One connection to the Live Webinar
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Minnesota Credi...
05/09/2018 - 06:02
Timberline Resources Closes Private Placement Financing
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Timberline Resources
05/08/2018 - 05:58
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 - 09:33
FINRA Progress Report on FINRA360 Highlights Significant Changes
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FINRA
04/16/2018 - 15:22
FINRA Names Timothy C. Scheve to Board of Governors
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FINRA
04/12/2018 - 10:47
FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
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FINRA
04/11/2018 - 09:50
Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
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FINRA
04/04/2018 - 16:53
TradeStation to Provide IPO Access through the ClickIPO App
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TradeStation Group
03/29/2018 - 10:26
FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize Personal Finances
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FINRA
03/28/2018 - 08:39
FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
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FINRA
03/27/2018 - 18:22
Dan Gold in Business Insurance on SCOTUS Securities Class Action Ruling
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Haynes and Boone
03/14/2018 - 13:14
SEC Proposes Transaction Fee Pilot for NMS Stocks
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SEC
03/14/2018 - 07:57
Report from FINRA Board of Governors Meeting March 2018
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FINRA
03/05/2018 - 11:27
SEC Issues New Interpretive Guidance on Public Company Cybersecurity Disclosures
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Haynes and Boone
03/01/2018 - 09:25
CSX to Outline Plans Targeting a 60 Percent Operating Ratio at 2018 Investor Conference
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CSX
02/16/2018 - 11:25
FINRA Warns Investors of 'Regulator' Imposter Scams
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FINRA
02/15/2018 - 16:37
Karen Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service
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SEC
02/13/2018 - 09:58
FINRA Foundation Announces New Appointments to Board of Directors
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FINRA
02/12/2018 - 09:17
CSX Corporation Announces Increase to Dividend and Share Repurchase Program
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CSX
02/08/2018 - 08:36
FINRA Releases Paper Providing Perspectives on Customer Recovery
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FINRA
02/07/2018 - 09:08
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
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SEC
02/05/2018 - 11:22
FINRA Fines Wedbush Securities Inc. $1.5 Million for Customer Protection, Net Capital Rule Violations and Related Failures
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FINRA
02/05/2018 - 06:16
New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation
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FINRA
02/01/2018 - 10:45
FINRA Announces Comprehensive Changes to Advisory Committees, Including Creation of Two New Committees
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FINRA
01/22/2018 - 14:55
FINRA Launches Small Firm Helpline to Provide Enhanced Support
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FINRA
01/18/2018 - 14:22
FINRA Publishes Budget Summary and Financial Principles for First Time
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FINRA
01/18/2018 - 01:03
iHeartCommunications, Inc. Announces Extension Of Private Offers To Holders Of Its Five Series Of Priority Guarantee Notes And Its Senior Notes Due 2021 To Exchange Such Notes For New Securities
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Clear Channel O...