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Cybersecurity Vulnerabilities Need Addressing
Strengthen cyber defenses by guiding organizational behavior and reducing tactical errors.
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Craig Callé
| May 17, 2022
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Financial Industry Regulatory Authority
Risk
2022 Regulatory Outlook: A Year of Big Developments?
Insider stock sales, individual culpability in corporate misconduct, and climate-related disclosures headline a potentially busy year.
By
Matt Heller
| January 25, 2022
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Risk & Compliance
Robinhood to Pay $70M to Settle FINRA Probe
"The fine imposed in this matter, the highest ever levied by FINRA, reflects the scope and seriousness of Robinhood’s violations."
By
Matthew Heller
| June 30, 2021
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Risk & Compliance
SEC Approves New Markets Oversight System
The consolidated audit trail will track the life cycle of every trade in the markets, accounting for billions of transactions, canceled orders and quotes.
By
Matthew Heller
| November 16, 2016
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Risk & Compliance
Oppenheimer Fined $3M Over ETF Sales
FINRA says the money manager sold non-traditional exchange-traded funds to investors who weren't qualified to buy them.
By
Matthew Heller
| June 8, 2016
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Risk
SEC Approves Program for Small-Cap Companies
In the pilot program, the securities of some small-cap issuers will trade in increments of 5 cents per share.
By
Katie Kuehner-Hebert
| May 7, 2015
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Risk & Compliance
SEC Seeks to Rein in Off-Exchange Traders
The proposed change would enhance regulatory oversight of active proprietary trading firms, such as high-frequency traders.
By
Katie Kuehner-Hebert
| March 25, 2015
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Regulation
Securities-Backed Loans Draw FINRA’s Eye
Banks’ wealth-management divisions are underwriting loans collateralized by clients' growing securities portfolios.
By
Katie Kuehner-Hebert
| January 7, 2015
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Risk Management
Citigroup Fined $15M Over Research Analysts’ Conflict
Citigroup Global Markets provided some investors with improper access to material, nonpublic information, says FINRA.
By
Matthew Heller
| November 25, 2014
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Risk & Compliance
Stock Exchanges on Track to Develop Audit Trail System
A consolidated audit trail of all stock and options trading activity was first proposed after the May 2010 Flash Crash.
By
Matthew Heller
| September 29, 2014
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