By Joe Mont2018-07-25T15:45:00
Democratic senators want FINRA to detail its interpretation of the SEC's proposed standards of conduct rule. FINRA will play a large role in implementing and enforcing the forthcoming rule package.
2018-08-07T09:45:00Z By Joe Mont
The general public, ahead of Tuesday’s deadline for public comment, has offered constructive criticism of the SEC’s Regulation Best Interest.
2025-10-17T21:09:00Z By Oscar Gonzalez
Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.
2025-08-27T19:46:00Z By Aly McDevitt
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
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