In late 2016, the Financial Industry Regulatory Authority (FINRA) submitted a proposed new rule to the Securities Exchange Commission (SEC) meant to protect older adults[...]
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission recently announced charges against Oppenheimer & Co. for violating federal securities laws by improperly selling penny stocks in unregistered offerings[...]
The Securities and Exchange Commission today announced fraud charges and an asset freeze against Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related[...]
The United States Senate is introducing a bill with bipartisan support to try to increase the effectiveness of fines levied by the Securities and Exchange[...]