Proposed SEC amendments to revise the description of business, legal proceedings, and risk factor disclosures that registrants are required to make under the Securities Act, were published in the Federal Register.

Cabinet "Alerts" allow firms and individuals to track regulatory developments, keep informed of the latest changes, and address corresponding compliance issues.

FINRA charged a broker-dealer for conversion of customer funds and securities, misuse of customer assets, unauthorized trading, unfair prices and commissions and unreasonable and discriminatory fees.

The Cabinet offers a collection of pages on regulatory requirements applicable to investment advisers and investment funds.