U.S. Securities and Exchange Commission
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Recent News About U.S. Securities and Exchange Commission
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.
A recent Supreme Court ruling may lead to more whistleblowers reporting alleged infractions within their companies to the U.S. Securities Exchange Commission (SEC), rather than beginning the process first in-house, according to one legal expert
A proposed new law could change the rules in Illinois concerning unclaimed property - and particularly, unclaimed gift cards and unclaimed property from business-to-business transactions, both of which may no longer be exempt from reverting to the state.