Amendments to Municipal Securities Disclosure
SEC | Broker-Dealer, Securities | Final Rule
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.14, Clearance and Settlement
NYSE | Securities | Agency Update
Net Worth, Asset Transfers, and Income Exclusions for Needs-Based Benefits
VA | Mortgage Lending | Final Rule
Mergers and Transfers Between Multiemployer Plans
PBGC | Securities | Final Rule



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Consumer Finance Monitor 10/09/2018
The FDIC’s Center for Financial Research has issued a research paper that discusses the use of the information contained in a “digital footprint,” meaning the information that people leave online by accessing or registering on a website, for predicting consumer default…
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Wesley Justin Foltz
FINRA |Broker-Dealer, Securities | Enforcement | 10/05/2018 |
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SEC | Securities | Enforcement | 10/04/2018
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FINRA | Securities | Enforcement | 10/04/2018
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FINRA | Broker-Dealer, Securities | Enforcement | 10/08/2018
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FINRA | Broker-Dealer, Securities | Enforcement | 10/05/2018
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