Continue Reading 3rd Circuit Holds Dodd-Frank Retaliation Claim Subject to Arbitration
NASAA Unveils Online Filing System for State Form D Filings
SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)
SEC Settles with Bitcoin/Litecoin Exchange Operator
SEC and PCAOB Collar 15 For Independence Violations in Audits of Broker-Dealers
Rule 506 Bad Actor Waivers – The New Normal?
No-Action Relief for Social Impact Financing Finder
FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements
Spoofing Back in the News — First Criminal Indictment for Spoofing; CFTC Settlement Lays Out Telltale Signs of Spoofing
