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Stories of Interest
- FINRA RegNote 17-40: AML/KYC Requirements Under FINRA Rule 3310
- Trump defends Roy Moore: 'He totally denies it'
- Barclays CEO Staley's New Investment Banking Strategy Falters
- FIFO: Senate Plan Lets Mutual Funds Skip A Tax Change That Hurts Individual Investors
- FINRA Introduces New Functionality and Design to Fund Analyzer
- Oyster Bay, NY, and Former Top Official Charged with Defrauding Muni Investors
- State Street Challenging BNY Mellon As Largest Custody Bank
- Changes to FINRA Advisory Committees: Phase 1
- SEC Approves CAT Fee Dispute Resolution Process
- Boston-Area Consultant & Friend Settle SEC Insider Trading Charges
- SEC Chair Clayton: Statement on Status of the Consolidated Audit Trail ('CAT')
- Goldman to Launch $5bn Fund with China Investment Corp.
- Wells Fargo Launches Robo-Adviser Targeting Millenial Investors
- Barclays Fails to End U.S. 'Dark Pool' Class Action
- Goldman Sachs' Chief Risk Officer, Craig Broderick, to Retire
- Time to Renew FINRA Registrations - B/D, IA, Agent, IA Rep, Branches
- New Jersey’s Next Governor Could Be a Democrat Who Worked at Goldman Sachs
- FINRA New York Region Networking Seminar - December 1st
- SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers
- Hedge Fund Giant Paul Singer Targeted for Destruction by Steve Bannon
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NEWSLETTERS & ALERTS
SEC Names 3 Senior Officials in Enforcement, Corporate Finance
Robert Evans III Joins SEC Corporate Finance Unit as Deputy Director. Mr. Evans will join Deputy Director Shelley Parratt as a senior advisor to CorpFin Director William Hinman. Most recently, Mr. Evans worked at Shearman & Sterling as a partner in the firm’s capital markets practice. He has experience advising on public and private offerings, securities law compliance, and corporate governance.
Mr. Evans has been a frequent speaker and writer on securities law, compliance, and legal ethics. In addition to his extensive transactional practice, he was a member of the TriBar Opinion Committee, the Working Group on Legal Opinions, the American Law Institute, and Co-Chair of Shearman & Sterling’s Opinion Committee. Mr. Evans received his bachelor’s degree from Harvard College and law degree from Boston University School of Law, both cum laude.
Kathryn Pyszka Named Associate Regional Enforcement Director in Chicago. Ms. Pyszka succeeds Timothy Warren, who retired from the SEC in January. In her new role, Ms. Pyszka will co-lead the Chicago Office’s Enforcement program with Robert Burson, who serves as the office’s other Associate Regional Director for Enforcement.
Ms. Pyszka joined the SEC in 1997 as a staff attorney in Enforcement. She was promoted to branch chief in 1998, and became senior trial counsel in 2000. After a brief time in private practice, she rejoined the SEC as senior trial counsel and was promoted to Assistant Regional Director in 2007. She joined the Division’s Market Abuse Unit in 2010. Before joining the SEC, Ms. Pyszka worked in the private sector in Chicago and served as a law clerk for the Honorable Joe Billy McDade in the U.S. District Court for the Central District of Illinois.
Kelly Gibson Named Associate Regional Enforcement Director in Philadelphia. Ms. Gibson succeeds Jeffrey Boujoukos, who became Regional Director of the SEC’s Philadelphia office in January.
Ms. Gibson joined the SEC in 2008 as a staff attorney in Enforcement. When the Division was reorganized in 2010, she joined the Market Abuse Unit. In 2013, she was promoted to Assistant Regional Director. Before joining the SEC, Ms. Gibson worked as a litigation associate for Ballard Spahr Law in Philadelphia, PA.