Our experts frequently write blog posts about the findings of the research we are conducting.
2013 SEC Enforcement Summary
FINRA Fines Oppenheimer over Huge Municipal Bond Markups
A Look Into the TIC Industry
Brokerage Firm Fined for Misrepresentations Made to Former Broker
SEC Issues Proposal on Crowdfunding
SEC Litigation Releases: Week in Review (Part II) - October 4th, 2013
SEC Awards More Than $14 Million to Whistleblower
SEC Proposes Rule for "Pay Ratio" Disclosure
SLCG Research: Structured Product Based Variable Annuities
CFTC: Concept Release on Risk Controls and System Safeguards for Automated Trading