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  1. James Langton
    The committee will assist in keeping regulation in step with digital innovation
  2. James Langton
    Securities regulators extend mutual fund-only exemption
  3. Alan Husdal
    The agents had similar answer sequences on their licensing exams
  4. James Langton
    FCNB releases capital markets report
  5. James Langton
    The guidelines aim to ensure greater consistency in reporting by trade repositories
  6. James Langton
    The Quebec regulator intends to publish a governance and compliance guide for firms in early 2018
  7. James Langton
    Investment industry firms urged to do more to prepare for and respond to the needs of vulnerable investors
  8. Alan Husdal
    The competition will focus on tech-driven solutions that could help industry firms meet their regulatory requirements
  9. James Langton
    Enforcement division releases report on priorities and enforcement activity
  10. James Langton
    A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”