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SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
October 14, 2026
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
October 14, 2026
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
October 14, 2026
FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
September 30, 2026
FINRA Orders American Portfolios to Pay $1.2 Million in Restitution and $400,000 in Fines for UIT Supervision Failures
September 30, 2026
FINRA Bars Broker for Misappropriating $1.7 Million from Customers’ Accounts
September 30, 2026
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
September 30, 2026
Potential Designations of the Investment Banking Representative License (Series 79) and (Series 86 and Series 87) as Qualifying Natural Persons for Accredited Investor Status
September 30, 2026
Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status
September 30, 2026
Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status
September 30, 2026
Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status
September 30, 2026
Potential Designation of Passage of an Accredited Investor Exam to Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status
September 30, 2026
Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies
September 30, 2026
Investment Adviser Performance-Based Compensation Modernization
September 30, 2026
SEC Fact Sheet: SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
September 30, 2026
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