U.S. regulators are warning investors about “spoof” websites that aim to impersonate the sites of legitimate firms. The U.S. Sec...
CN Editor
October 24, 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
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP