The NASDAQ stock exchange has agreed to pay a $10 million penalty for violations that occurred during Facebook's IPO and its aftermath, the SEC said.
Investors wanting to sell their rights to an income stream or investing in one that belongs to someone else need to be aware.
Washington state businessman hit with fraud charges.
Company settles for $3.5 million; two senior executives agree to pay $135,000.
Rules require broker-dealers, mutual funds, investment advisers to adopt red flag, identity theft programs.
White was nominated in February and confirmed last week.
Commission says Facebook, Twitter use OK unless access is restricted or if investors don’t know that’s where they need to turn for news.
Party-line vote sends director's nomination to full Senate.
Committee passage would send CFPB director's bid to full Senate for more partisan combat.
Guidance update speaks to whether or not FINRA filing would be required.