January 22, 2018

The Securities and Exchange Commission today announced charges against six certified public accountants – including former staffers at the Public Company Accounting Oversight Board (PCAOB) and former …

January 18, 2018

Increases Transparency into Budget; Includes No Fee Rate Increases for Member Firms

January 14, 2018

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2018 Regulatory and Examination Priorities Letter, highlighting topics that FINRA will focus on in the coming year, …

January 12, 2018

The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Atlanta office. Mr. Best will succeed Walter Jospin, who is leaving the agency at the end of this mont…

January 12, 2018

The U.S. Securities and Exchange Commission’s Division of Economic and Risk Analysis is partnering with New York University’s Salomon Center for the Study of Financial Institutions to bring together r…

January 12, 2018

The Securities and Exchange Commission has named Dr. Timothy Timura, CFA, as Deputy Director and Deputy Chief Economist in the agency’s Division of Economic and Risk Analysis (DERA). Dr. Timura joi…

January 12, 2018

Robert J. Jackson Jr. and Hester M. Peirce were sworn into office as SEC Commissioners this morning by SEC Chairman Jay Clayton. Mr. Jackson and Ms. Peirce were nominated to the SEC by Presiden…

January 10, 2018

The Securities and Exchange Commission today released the agenda for the inaugural meeting of the Fixed Income Market Structure Advisory Committee, which will be held on January 11, 2018 beginning at …

December 31, 2017

Credit rating agencies under Securities and Exchange Commission oversight show improved compliance, increased information technology resources, and continued competition, according to two SEC staff re…

December 29, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined J.P. Morgan Securities $2.8 million for violating the Securities and Exchange Commission’s (SEC) Cust…