The SEC and the NASAA have issued a summary that explains the application of the federal and state securities laws to opportunity...
CN Editor
July 17, 2019
SEC DIVISION OF EXAMINATIONS ANNOUNCES 2026 PRIORITIES
FAKE ADVISORY FIRMS IN "RAMP-AND-DUMP" SCAM: SEC
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
STATES AND CFTC SECURE FINAL JUDGMENT AGAINST PRECIOUS METALS FIRM THAT DEFRAUDED ELDERLY ADULTS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP