The Securities and Exchange Commission’s New York Regional Office and Fordham University School of Law will host a conference on ...
CN Editor
October 29, 2019
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
SEC CONTINTUES EFFORTS TO ASSIST MARKET PARTICIPANTS DURING IMPLEMENTATION OF TREASURY CLEARING RULES
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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
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS