BROWSE BY TOPIC
Stories of Interest
- FINRA Board of Governors - Election Notice
- Trump Signs Biggest Rollback of Bank Rules Since Financial Crisis
- SEC Commissioners Hold Investor Town Hall in Atlanta
- SEC Proposes FAIR Act Rules to Promote Research Reports on MFs, ETFs, Other Funds
- FINRA Markup/Markdown Analysis Report - Phone Workshop, WebEx Presentation
- NASAA Announces Coordinated International ICO and Crypto Crackdown
- New York Investment Advisor Settles SEC Insider Trading Charges
- Supreme Court Backs Companies Over Worker Class-Action Claims
- Bank of America Introduces Erica, Its AI Financial Assistant
- Banks Are Getting Another Volcker Rule Win
- Citigroup to Pay $7.3Mn Fine for Substandard IPO Work
- FINRA Stretches Definition of Participating in a Private Securities Transaction - Bill Singer
- Post Mortem Auto-Pilot Trading Sends Stockbroker's Career into Head-On Regulatory Crash
- Wells Fargo Has Shown Us Its Contemptible Values
- UBS to Counter Trading Troubles With M&A Work
- SEC Moves Quickly To Shut Down Fake Pre-IPO Share Scam
- SEC Testimony: Oversight of the SEC Division of Enforcement
- FINRA Modifies 'Agency Debt Security' in Rule 6710
- Is Jamie Dimon Doing a U-Turn on Bitcoin?
- After New Yorker's Racist Rant Goes Viral, His Law Firm Gets Pummeled with 1-Star Yelp Reviews
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NEWSLETTERS & ALERTS
Associate Director / Chief Counsel in SEC Investment Management to Retire
The SEC announced that Douglas Scheidt, an Associate Director and the Chief Counsel in the Division of Investment Management, will retire at the end of September. He's spent 32 years in public service and has led the Division's Chief Counsel’s Office for over 21 years.
Prior to taking on his current role in 1997, Mr. Scheidt served as an Associate Director (Compliance, Financial Analysis, Public Utilities and Investment Company Regulation) and as the Assistant Director of the Office of Enforcement Liaison. He's also been a Lecturer at Howard University School of Law and Georgetown University Law Center.
And, before joining the SEC's Division of Investment Management in 1991, Mr. Scheidt served as VP and Associate General Counsel at The Boston Company Advisors, and as an attorney in private practice.
[Now, if he just stay out of Trump's cross-hairs until he retires. (Just joking)]