Financial Industry Regulatory Authority
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FINRA Releases 2018 Regulatory and Exam Priorities
on 01/08/2018 at 5:00 AM
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2018 Regulatory and Examination Priorities Letter, highlighting topics that FINRA will focus on in the coming year, including new and ongoing areas of focus.&nbs […]
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings
on 12/28/2017 at 5:00 AM
WASHINGTON —The Financial Industry Regulatory Authority (FINRA) announced today it has fined Citigroup Global Markets Inc. (CGMI) $5.5 million and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity […]
FINRA Fines J.P. Morgan Securities LLC $2.8 Million for Customer Protection Rule Violations and Supervisory Failures
on 12/27/2017 at 5:00 AM
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined J.P. Morgan Securities $2.8 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection Rule and for related supervisory failures. The SEC rule creates […]
FINRA Warns Investors: Don’t Fall for Cryptocurrency-Related Stock Scams
on 12/21/2017 at 5:00 AM
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of potential stock scams when considering the purchase of shares of companies that tout high returns associated with cryptocurrencies, such as bitcoin.&nbs […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
Robert Jackson and Hester Peirce Sworn In as SEC...
on 01/11/2018 at 9:30 PM
Robert J. Jackson Jr. and Hester M. Peirce were sworn into office as SEC Commissioners this morning by SEC Chairman Jay Clayton. Mr. Jackson and Ms. Peirce were nominated to the SEC by President Donald Trump, and their nominations were confirmed by the U.S. Senate on Dec. 21. Both new […]
Dr. Timothy Timura Named Deputy Chief Economist
on 01/11/2018 at 4:40 PM
The Securities and Exchange Commission has named Dr. Timothy Timura, CFA, as Deputy Director and Deputy Chief Economist in the agency’s Division of Economic and Risk Analysis (DERA). Dr. Timura joins DERA from the faculty of the Kogod School of Business at American University, where he has […]
SEC and NYU to Host Jan. 19 Forum on Relationship...
on 01/11/2018 at 3:10 PM
The U.S. Securities and Exchange Commission’s Division of Economic and Risk Analysis is partnering with New York University’s Salomon Center for the Study of Financial Institutions to bring together regulators, practitioners, and academics for a half-day symposium January 19 at NYU. […]
SEC Names Richard Best As Regional Director of...
on 01/10/2018 at 8:05 PM
The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Atlanta office. Mr. Best will succeed Walter Jospin, who is leaving the agency at the end of this month. For the past two-and-a-half years, Mr. Best has served as Director of the SEC’s Salt […]