Remarks at CBI's Pharmaceutical Compliance Congress
This House measure would require the SEC to work with the Department of Labor on any new fiduciary duty standard.
Broker-dealers must supervise private securities transactions where the rep is compensated, under FINRA rules. They also must record the transactions on their books and records. ...
SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo
Statement on the Aggregate Impact of Financial Services Regulations
SEC Charges Operators of International Pyramid Scheme Targeting Latino Communities