CFTC Staff Issues Advisory Regarding Form 304 Submission Format Beginning January 15, 2025

12th December 2024

SEC Charges Former Representative Of Advisory Firm SeaCrest With Cherry-Picking - Firm Settles SEC Charges Related To Former Employee’s Misconduct

12th December 2024

CFTC Financial Data For Futures Commission Merchants Update

12th December 2024

CFTC: Federal Court Orders Minnesota Man And Two Companies To Pay Over $2 Million For Futures Fraud And Misappropriation

12th December 2024

SEC Small Business Advocacy Office Delivers Report To Congress On Capital Raising For Startups To Small Public Companies

12th December 2024

CFTC Commissioner Mersinger To Participate In A Fireside Chat At The Blockchain Association Policy Summit

12th December 2024

US Office Of The Comptroller Of The Currency Reports Third Quarter 2024 Bank Trading Revenue

12th December 2024

Report From FINRA Board Of Governors Meeting – December 2024 - Board Appoints Public Governor And Discusses Budget, Rules Regarding Outside Business Activities And Private Securities Transactions, And 2025 Regulatory Oversight Report

12th December 2024

SIFMA Issues 2025 And 2026 Fixed Income Recommendations For Full & Early Holiday Closes In The U.S., U.K., And Japan

12th December 2024

SEC Office Of The Investor Advocate Issues Report On Nationally Representative Survey Of Investors And Continues Focus On Investment Fraud

12th December 2024