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SEC News

SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp.
SEC Charges Former Finance Director at CIRCOR International with Accounting Fraud
SEC Charges Broker-Dealer Nationwide Planning and Two Affiliated Investment Advisers with Violating Whistleblower Protection Rule
SEC Charges Six Credit Rating Agencies with Significant Recordkeeping Failures
SEC Charges Advisory Firm ClearPath with Custody Rule and Liability Disclaimer Violations

PR Newswire

CenterPoint Energy is monitoring Gulf of Mexico weather and preparing for potential tropical system
HONOR Redefines Mobile AI Solutions with PC powered by Snapdragon, on-device AI Agent and AI Deepfake Detection at IFA 2024
HONOR Redefines Mobile AI Solutions with PC powered by Snapdragon, on-device AI Agent and AI Deepfake Detection at IFA 2024
SDAIA to Unveil Key AI Strategies and International Collaborations at Global AI Summit Press Conference
SDAIA to Unveil Key AI Strategies and International Collaborations at Global AI Summit Press Conference

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Industry Webinar - CAT 101
CAT Alert 2019-04 - Feedback Definition for Named Errors
CAT Alert 2019-03 - CAT Industry Member Reporting Scenarios Version 2.0
CAT Alert 2019-02 - CAT Reporting Technical Specifications for Industry Members - Final
CAT Alert 2019-01 - Alternative Trading System (“ATS”) Order Type Identifier Registration

Regulatory, Election and Trade Reporting Notices

Election Notice – 9/3/24
Election Notice – 9/3/24
Election Notice - 8/19/2024
Election Notice - 8/12/2024
Regulatory Notice 24-11

Finra News Releases and Speeches

FINRA Enhances Post-Trade Transparency in U.S. Treasury Securities Market
Report From FINRA Board of Governors Meeting – May 2024
FINRA Promotes Michael Solomon to Executive Vice President of Examinations and Membership Application Program
Financial Professional or Artificial Intelligence? FINRA Foundation Report Examines Which of These Consumers Trust More
FINRA Statement to Correct Misinformation About the New Residential Supervisory Location Rule

SR-FINRA-2018-003
SR-FINRA-2018-012
SR-FINRA-2017-025
SR-FINRA-2017-009
SR-FINRA-2016-033

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