SEC Adopts Rules to Help Protect Investors from Identity Theft

The Securities and Exchange Commission voted unanimously to adopt rules requiring broker-dealers, mutual funds, investment advisers, and certain other entities regulated by the agency to adopt programs to detect red... [...]

Sutherland Asbill & Brennan recently released an analysis of the 2012 FINRA disciplinary actions. The analysis shows an increase in enforcement actions and fines. Total actions increased for the fourth... [...]