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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Stories of Interest: Regulators

Reflections of an Economist Commissioner (SEC's Piwowar)

April 19, 2018

One FINRA: An Organization’s Commitment to Diversity and Inclusion

April 17, 2018

2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

April 17, 2018

SEC Encourages Investors to Do Background Checks on

April 16, 2018

Mulvaney Tells How Would Further 'Defang' the CFPB

April 11, 2018

SEC Chair Clayton: Opening Remarks at Meeting of Fixed Income Market Structure Committee

April 10, 2018

SEC Warns of Government Impersonators

April 4, 2018

SEC Promotes Investor Awareness During National Financial Capability Month

April 3, 2018

FINRA Explains Investment Risk - Investor Alert

April 3, 2018

Keynote Address, ICI 2018 Mutual Funds & Investment Management Conference

March 19, 2018

SEC Announces Largest-Ever Whistleblower Awards

March 19, 2018

FINRA Board of Governors Meeting - March 2018

March 15, 2018

Winklevoss Twins Have a Plan to Police Cryptocurrency Trading

March 14, 2018

Upcoming FINRA Board Meeting

March 5, 2018

SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company

February 19, 2018

FINRA Announces 2018 West Region Networking Seminar

February 14, 2018

Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request

February 12, 2018

FINRA: Perspectives on Customer Arb Award Recovery

February 8, 2018

FINRA Publishes Annual Budget Summary - No Fee Rate Increases for Member Firms

January 17, 2018

FINRA: The Neutral Corner

December 22, 2017

Trump Can Pick CFPB Chief - Just Not His Direct Report, Budget Director Mulvaney

December 15, 2017

FINRA Board Meeting - This Week's Agenda

December 12, 2017

Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein

December 8, 2017

New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation

December 6, 2017

Former Company Insider Has $4.1Mn Payday as a Whistleblower

December 5, 2017

SEC Ratifies Appointment of Administrative Law Judges

November 30, 2017

More Than $16Mn Awarded to 2 Whistleblowers

November 30, 2017

SEC Chair Clayton - Remarks at Conference on Evolving Structure of the U.S. Treasury Market

November 30, 2017

FCPA: Reflections on the Past, Present, and Future of SEC Enforcement

November 30, 2017

Changes to FINRA Advisory Committees: Phase 1

November 15, 2017

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