SEC News

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago. The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms […]

SEC News

SEC Charges Former Woodbridge Directors of Investment With Fraud

The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane R. Roseman, were separately arrested and charged by criminal authorities, along with Woodbridge owner Robert H. Shapiro.  The SEC previously charged Woodbridge and Shapiro, and Woodbridge’s highest-earning unregistered brokers. In […]

SEC News

SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee

The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on fixed income market structure issues. The meeting will be held at the […]

SEC News

New SEC Campaign Educates Investors on Where and How to Get Answers

The Securities and Exchange Commission today unveiled a public service campaign to empower Main Street investors to take control of their financial future. The public service announcement (PSA) encourages investors to use the free tools and unbiased information available on the SEC’s online resource for investor education−Investor.gov−to get answers to their questions about investing. “Main […]

SEC News

Are You Prepared for Your Financial Future? Use the SEC’s Investor Preparedness Checklist to Find Out

Are you prepared for your financial future?  That’s the question the Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) is asking investors. To help investors get started with creating their own saving and investing plan, OIEA developed an investor preparedness checklist to empower them. In addition to encouraging investors to start early and […]