The SEC sanctioned a research analyst for violating SEC certification rules by communicating personal views of a company contrary to the public rating contained in his research report.

The Vermont Department of Financial Regulation is seeking public comments on Securities Rule S-2016-01, which would establish a comprehensive set of regulations to govern the sale of securities in the State.

The NFA will conduct a webinar on the "dashboard," the entryway to the NFA's Online Registration System ("ORS").

A technology company and its Chinese subsidiaries settled parallel civil and criminal actions with the SEC and the U.S. Department of Justice. The actions involved violations of the anti-bribery, books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act.

The SEC Investor Advocate responded to Nasdaq's recent request for comments regarding its current shareholder approval rules.