SEC Litigation Releases
- SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering
- SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
- TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, Ted L. Romeo, Vincent J. Caputo, Frank S. DickersonSEC Charges South Florida Venture Capital Firm and Others with Acting as Unregistered Brokers and Selling $3 Million in Securities to Investors
- SEC Charges Former Investment Adviser with Stealing from Clients
- SEC Brings Settled Actions Charging Cherry-Picking and Compliance and Supervisory Failures
FINRA Dispute Resolution Rule Filings
- by SR-FINRA-2018-003Proposed Rule Filing Relating to Simplified Arbitration
- by SR-FINRA-2018-012Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry […]
- by SR-FINRA-2017-025Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
- by SR-FINRA-2017-009Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
- by SR-FINRA-2016-033Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
CFTC Enforcement Press Releases
- by dfaulk-white
- CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivativesby dfaulk-white
- CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desksby dfaulk-white
- Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Orderby dfaulk-white
- by dfaulk-white
SEC Administrative Proceeding Releases
- Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed with the Commission
- Order Appointing Fund Administrator and Setting Administrator's Bond Amount
- Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
- Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Dca Asset Management, Inc.
- Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
FINRA Investor Alert news feeds
- by No matter where you get your trading insights, and whether you are following a recommendation to buy stocks, bonds, options or something else, know this: where there is opportunity, there is also risk. Here are 10 tips.
- by If you view market volatility as an opportunity to purchase more stock at a favorable price, make sure you look beyond the ticker symbol to confirm you are buying the right company. Many companies have similar names.
- by One of the best ways you can protect your investment portfolio is to monitor your holdings and activity. You should make it a habit to review online or paper account statements and trade confirmations on a regular basis. You should review your statement as soon as you receive it to confirm it correctly reflects your […]
- by FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight their risks. This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in […]
- by FINRA is issuing this alert to inform investors that investments in digital assets, such as ICO tokens and cryptocurrencies, can involve significant uncertainty, as well as risks that are different from more conventional assets like stocks or bonds.