A firm settled FINRA charges for failing to detect that its representative recommended an unsuitable investment strategy.

A Dallas-based global payments company settled potential civil liability with OFAC for alleged violations of multiple sanctions regulations.

At a meeting of the Small Business Capital Formation Advisory Committee, SEC Commissioners offered recommendations to improve access to capital for underrepresented founders and investors.

The Cabinet Regulatory Tracker is a list of effective dates and comment deadlines.

Eight companies settled SEC charges for failing to adequately disclose in their Form NT reports the reasons they could not timely submit their filings.