FINRA governs U.S. brokers and broker-dealers, ensuring investor protection and rule enforcement. Learn about its oversight ...

The recent unveiling of the SEC's review of the Accredited Investor definition in December 2023 has disappointed many in the financial world. Despite widespread anticipation for a more inclusive ...

This article was written by Kate Lee, Global Head of Regulatory Enterprise Data, Buket Theobald, Regulatory Data Product Manager & Thomas Labbe, Global Regulatory Product Manager at Bloomberg. The ...

John lost 15% of his retirement savings in a non-traded REIT and was unable to pay his mortgage when the REIT subsequently suspended distributions and redemptions. Sharon and Bill lost their $25,000 ...

On July 10, 2009, the Treasury released draft legislation,1 the Investor Protection Act of 2009 (the “Proposed IPA”), intended to provide new tools to the Securities and Exchange Commission to protect ...

A U.S. appeals court tossed out a federal rule intended to provide investors more protections and transparency that Wall Street argued would impose undue regulatory burdens and costs. A cohort of ...

As retail investors expand into asset classes that were once largely reserved for institutions or high-net-worth individuals, options trading has become a central issue in the broader conversation ...

Ariadne M. Clinton of Spencer West LLP discusses the Securities and Exchange Commission's release of enforcement results for ...

Editor's note: In April 2021, the Senate voted to confirm the nomination of Gary Gensler to lead the Securities and Exchange Commission. This article originally ran in January 2021 and has been ...

The Ontario Securities Commission's Investor Advisory Panel (IAP) today released its 2025 Annual Report summarizing its activities, submissions, consultations, and meetings.