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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

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

SEC Chair Clayton - Governance and Transparency at the Commission and in Our Markets

November 15, 2017

SEC Chair Clayton: Governance and Transparency at the Commission and in Our Markets

November 10, 2017

SEC Enforcement Initiatives for Retail Investor Protection and Cybersecurity - Co-Director Avakian

November 1, 2017

FINRA Election: District Committee Seats

October 24, 2017

FINRA Election: Small Firm Advisory Board (SFAB)

October 24, 2017

FINRA Election: Small Firm NAC Member Seat

October 24, 2017

Upcoming FINRA Board Meeting and FINRA360 Update

September 25, 2017

SEC Chair Clayton: Remarks Before Advisory Committee on Small & Emerging Companies

September 16, 2017

FINRA August 2017 Monthly Recap (Podcast)

September 5, 2017

SEC Looking to Hire New PCAOB Chair - Job Pays $670K

August 14, 2017

'Lighting Our Capital Markets' - SEC Speech

August 14, 2017

Sponsoring Mediation Settlement Day Set for 10/19 - FINRA

August 9, 2017

FINRA July 2017 Monthly Recap - Podcast

August 3, 2017

CFTC Releases Rule Enforcement Review of the North American Derivatives Exchange (Nadex)

July 31, 2017

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