One of the authors of Project 2025—the conservative manifesto viewed by many as the Trump’s administration's guide for aggressive deregulation—is standing by his call for the Financial Industry ...
SEC Staff seeking authority to issue subpoenas must now obtain Commission approval. On March 10, 2025, in a vote that fell along ...
What should I know about this firm? Planmember Securities Corporation is a national financial advisory firm headquartered in Carpinteria, CA. The firm has $8.3 billion under management and employs ...
Mark Uyeda, acting SEC Chairman, describes the transition back to traditional regulatory practices after an overly ambitious ...
Think you don’t have to worry about the SEC because you’re at a private company or a non-profit? Think again says, Kevin Muhlendorf, attorney at ...
Martela Corporation, Stock Exchange Release, 13.3.2025 at 10.00 a.m. The Annual General Meeting of Martela Corporation will ...
The Securities and Exchange Commission dramatically pulled back on accounting and auditing enforcement last year after two ...
On March 3, 2025, the Securities and Exchange Commission’s Division of Corporation Finance announced that it has enhanced its ...
Federal regulators accused Cambridge Investment advisors of steering clients to investments that made more money for their ...
In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.
(Bloomberg) -- Two units of Robinhood Markets Inc. agreed to pay $26 million to settle Financial Industry Regulatory Authority allegations that it failed to respond to red flags about potential ...
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