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Regulators

FINRA Initiates Sweep Exam: Order Routing Conflicts

November 21, 2017

Regulators

SEC Enforcement: A Banner Year

November 16, 2017

Regulators

CFPB Director Richard Cordray Announces His Departure

November 15, 2017

Regulators

Regulators Headlines, September 14

September 14, 2017

Regulators

FINRA Elections – A Call for Nominations

September 11, 2017

Regulators

Chairman Clayton Names His Executive Staff

September 5, 2017

Regulators

Nasdaq Diversifies by Acquiring eVestment

September 5, 2017

Regulators

FINRA Begins Nomination Process to Fill NAC Vacancies

August 21, 2017

Regulators

Payment of Order Flow vs. Best Execution: Massachusetts Investigates

August 15, 2017

Regulators

Sale of CHX to Chinese Investors Delayed Further

August 10, 2017

Regulators

Regulators Headlines, August 9

August 9, 2017

Regulators

MSRB Has New Line-Up of Officers & Board Members

August 7, 2017

Regulators

What's Different About the Latest SEC Whistleblower Award?

August 1, 2017

Regulators

SEC Computer Networks Cited for Deficiencies - Report

July 31, 2017

Regulators

FINRA Reorganizes Enforcement, Names Susan Schroeder as Chief

July 26, 2017

Regulators

$61Mn Payday for JPMorgan Whistleblowers - Will Double-Dipping Be Allowed?

July 21, 2017

Regulators

Regulators Headlines, July 12

July 12, 2017

Regulators

SEC Priorities for Protecting Retail Investors

July 11, 2017

Regulators

Compensation for FINRA Top Executives

July 10, 2017

Regulators

FINRA: Higher Fines Offset Lower Operating Revenues in 2016

July 3, 2017

Regulators

Giancarlo Committed to 'Robust Enforcement' as U.S. CFTC Chair

June 23, 2017

Regulators

Wrong Way to Change SEC, FINRA Exams Under Trump

June 22, 2017

Regulators

4 Myths About Online Trading – FINRA Investor Alert

June 21, 2017

Regulators

CFTC – And Then There Was One Commissioner

June 21, 2017

Regulators

Citing FINRA for Flawed Regulation Over Non-Traditional ETFs

June 20, 2017

Regulators

CFTC Fraud Advisories - Precious Metals Fraud

June 8, 2017

Regulators

CFTC Fraud Advisories: Forex Fraud

June 7, 2017

Regulators

Investor Losses Add Up Quickly in Forex, Precious Metals, Commodity Frauds

June 7, 2017

Regulators

Regulators Quick Takes, 6/7

June 7, 2017

Regulators

Supreme Court Disgorges SEC

June 5, 2017

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