Author: Sean Reddy

December 9, 2020 -FINRA Board of Governors Meeting

FINRA’s Board of Governors met via...

Regulatory Notice 20-35 –FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent Survey

FINRA released a regulatory notice warning...

FINRA Disciplinary Action: August 2020

Firms Fined Exane, Inc. Exane, Inc....

SEC Expands Accredited Investor Definition

The Securities and Exchange Commission (“SEC”)...

SEC Charges South Florida Spouses with $500M Scam

The Securities and Exchange Commission (SEC)...

SEC Charges App Developers for Unregistered Security-Based Swap Transactions

Abra, a California-based trading app, and...