In the Media

dailyreportingsuite.com (Securities Regulation Daily) (November 14, 2014)  -- The D.C. Circuit has held that the SEC can invoke the Freedom of Information Act to withhold documents collected from…
Reuters (November 6, 2014 3:26 pm) - (Adds comment by FINRA, paragraph 8) When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple…
Reuters (November 6, 2014 10:02 am) - When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple effect. One of the people who expects to…
gnewstech.com (November 4, 2014) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors'…