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SEC News

SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex
SEC Votes to End Defense of Climate Disclosure Rules
SEC Crypto Task Force to Host Four More Roundtables
SEC Announces Agenda, Panelists for Roundtable on Artificial Intelligence
SEC Charges New Jersey Investment Adviser and His Firm with Fraud and Other Violations

PR Newswire

Enterprise Information Resources Inc. Achieves SOC 2 Type 1 Certification, Reinforcing Commitment to Security and Compliance
Hidden River Announces Investment in Miles Ahead Brands
Hon Hai Technology Group (Foxconn) schließt unabhängige Audits an 9 weiteren Produktionsstandorten ab
Superconductors made by Faraday Factory helped to achieve first plasma in a levitated dipole fusion prototype
Synechron Launches Cybersecurity AI Accelerators, Strengthening Enterprise Security

Archive

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May 2023

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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

Regulatory Notice 24-18
Election Notice - 12/30/2024
Regulatory Notice 25-06
Regulatory Notice 25-05
Regulatory Notice 25-04

Finra News Releases and Speeches

FINRA Securities Helpline for Seniors Marks 10th Anniversary With More Than $9.3 Million Recovered for Investors
FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
Report From FINRA Board of Governors Meeting – February 2025
FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
FINRA Publishes 2025 Regulatory Oversight Report

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

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May 26, 2023

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