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The North American Securities Administrators Association ("NASAA") expanded its Electronic Filing Depository System to accommodate ...

The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams

Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.

NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.

The Board of Directors of the National Futures Association ("NFA") named Thomas Sexton to replace Daniel Roth as NFA President and CEO, effective March 1, 2017.

The NFA notified member firms of an opening on its Board of Directors from the CPO/CTA category.

Law360, New York (December 20, 2013, 10:42 AM ET) -- Nearly a decade ago, the United States Supreme Court in Dura Pharmaceuticals Inc. v. Broudo, 544 U.S. 336, 345 (2005), emphasized that a securities fraud suit is not an investor’s insurance policy against market losses.

SEC Commissioner offers cybersecurity to-do list. Institutional investor organizations seek SEC rulemaking on fee reporting by private funds. SEC disapproves CAT LLC's proposed limited liability provisions.

SEC proposes to require extensive disclosures on securities loans

SEC staff issues guidance on "spring-loaded" compensation. NY Fed launches Central Banking Innovation Center. NFA proposes amendments to financial reporting requirements for SEC-registered SDs.

The Office of the Comptroller of the Currency and the FDIC (collectively, the "agencies") adopted a final rule that will shorten the standard settlement cycle for securities transactions...

SEC report on GameStop questions adequacy of trading regulations.

SEC issues risk alert on mutual fund and ETF compliance Deficiencies. SEC specifies financial reporting conditions for non-U.S. SBSDs. MSRB proposes extension of remote inspection relief.

In a new FAQ, OFAC clarified that the prohibitions under Executive Order 13959 do not apply to Luokung Technology Corp.

OFAC clarified in new FAQ 862 that Executive Order ("EO") 13959 does not require U.S. persons to divest their holdings in the publicly traded securities of identified Communist Chinese military companies by January 11, 2021.

In a final audit report, the SEC's Office of Inspector General (OIG) identified ways in which the SEC's Office of Compliance Inspections and Examinations ("OCIE") ...

President Donald J. Trump nominated Robert Jackson to be a Commissioner on the SEC.

The Federal Reserve Board, the FDIC, the Office of the Comptroller of the Currency, the SEC and the CFTC extended the comment period regarding a proposed rule to revamp the Volcker Rule. The comment period deadline – originally September 17, 2018 – was pushed back to October 17, 2018.