Our experts frequently write blog posts about the findings of the research we are conducting.
SEC Approves Municipal Adviser Registration Requirement
SEC Cracks Down on Firms for Short Selling Violations
FDIC Goes After Directors of Failed Banks
FINRA Study: Financial Scams Prevalent
SEC Halts Florida-Based Prime Bank Investment Scheme
CFTC: Concept Release on Risk Controls and System Safeguards for Automated Trading
Illiquid ETFs and SEC Market Maker Incentives
Five Broker-Dealers Ordered to Pay over $10 Million in Restitution for Non-Traded REIT Sales
Regulators Soften on Credit Risk Retention Rule
Limit Up/Limit Down Rules and the NYSE