Regulator launches SIE exam
Annamaria Lusardi honoured for research to advance investor protection and financial capability
Technology may make it easier for securities firms to strengthen their compliance programs
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year
The U.S. self-regulatory organization is looking to improve arbitration payouts to clients
Uniform standards to protect U.S. investors take effect
Harassing and abusive conduct violates ethical principles
The helpline aims to provide immediate answers on basic compliance questions
Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation