financial regulation Archives - The Industry Spread

SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members

June 8, 2019

The Securities and Exchange Commission today announced two new education initiatives that will build on its ongoing efforts to protect retail investors. The Teachers’ Initiative and the Military Service Members’ Initiative will build on the Commission’s past efforts and focus additional enforcement and investor education resources on behalf of teachers, veterans, and active duty military personnel stationed domestically and abroad.

Financial Regulation in a Digital World

November 16, 2018

A speech by John Price, Commissioner, Australian Securities and Investments Commission at the Monash Centre For Commercial Law and Regulatory Studies Symposium, (Melbourne, Australia) 12 November 2018