October 23, 2016

Implementation Date Set for July 10, 2017 WASHINGTON — The Securities and Exchange Commission has approved FINRA’s proposal to require its members to report certain transactions in Treasury Securit…

October 23, 2016

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) proposed rules addressing the financial exploitation of seniors and other vul…

October 23, 2016

The Securities and Exchange Commission today announced that a Houston-based technology solutions company has agreed to pay a $2.5 million penalty to settle charges that it overstated profits in one of…

October 23, 2016

The Securities and Exchange Commission today charged a Tennessee-based lawyer who served on the executive committee of the board of directors at Nashville-based Pinnacle Financial Partners with inside…

October 23, 2016

The Securities and Exchange Commission today announced that John W. Berry has been named Associate Regional Director for Enforcement in the agency’s Los Angeles Regional Office.   Mr. Berry succeed…

October 19, 2016

WASHINGTON — Beginning today, FINRA is expanding its alternative trading system (ATS) transparency initiative by publishing monthly information on block-size trades occurring on ATSs. The data is avai…

October 19, 2016

WASHINGTON — The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of regis…

October 19, 2016

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit T…

October 19, 2016

The Securities and Exchange Commission today announced that Anheuser-Busch InBev has agreed to pay $6 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) and chilled a …

October 19, 2016

The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales fo…