The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) announced the opening of reg...
CN Editor
April 17, 2019
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
REGULATORS PLEAD FOR MORE CLARITY ON CRYPTO RULES
FINRA ORDERS RECORD FINANCIAL PENALTIES AGAINST ROBINHOOD FINANCIAL LLC
SEC ANNOUNCES ANNUAL REGULATORY AGENDA
Thank you for the feedback!!
PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS