U.S. Securities and Exchange Commission


Recent News About U.S. Securities and Exchange Commission View More

SECURITIES AND EXCHANGE COMMISSION: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

By Press release submission | Apr 22, 2019

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.

Lawyer says SCOTUS decision encourages whistleblowers to report to SEC, not to employers internally

By Chandra Lye | Mar 14, 2018

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

Illinois unclaimed property rules for gift cards, other securities, could soon change

By Nicholas Gueguen | May 31, 2017

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.

The Record Network