The SEC announced that it has voted to adopt a new rule that extends a “test-the-waters” accommodation—currently a tool available...
CN Editor
September 27, 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
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
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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
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AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP