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SEC issues risk alert on broker-dealer controls regarding sales of unregistered securities and brings enforcement actions

October 13, 2014

NYSE Regulation to repatriate NYSE Group’s exchange market surveillance from FINRA

October 10, 2014

New York Attorney General applauds the decision of the University of Michigan to prevent favored release of its Consumer Sentiment Survey

October 9, 2014

The principal Canadian securities self-regulatory organization initiates consultation regarding proficiency services

September 24, 2014

Director of SEC’s Division of Enforcement comments on “broken window” philosophy

September 18, 2014

SEC amends money market fund regulations

September 9, 2014

SEC announces whistleblower award to audit and compliance professional who reported company’s wrongdoing

September 7, 2014

FINRA rule change involving “self-trades”

August 31, 2014

FINRA initiates targeted examinations involving order routing and execution quality of customer orders

August 30, 2014

In response to an SEC directive, US exchanges and FINRA have proposed a wider tick size pilot for small cap stocks

August 27, 2014

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