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Browsing Hashtag: #SEC

Regulators

SEC Suspends Some In-House Court Cases After Court of Appeals Issues Ruling

May 24, 2017

Regulatory Sanctions

SEC Foils Insider Trading Scheme Involving Confidential Government Info

May 24, 2017

Regulatory Sanctions

SEC Accountant Caught Trading Options

May 24, 2017

Crimes

Ex-Orioles All-Star Guilty of Insider Trading

May 23, 2017

Wall Street News

Does the Market Really Need Highly Leveraged ETFs?

May 23, 2017

Regulatory Sanctions

MA Fund Manager Made Ponzi Payments, Defrauded Investors - SEC

May 22, 2017

Wall Street News

Don’t See the SEC Approving These Volatile ETFs

May 22, 2017

Regulatory Sanctions

Cooperman Settles SEC Insider Trading Charges

May 19, 2017

Regulatory Sanctions

SEC v. Cooperman and Omega - A Win-Win Settlement

May 19, 2017

Regulators

SEC Announces High Level Additions to its Staff

May 17, 2017

Wall Street News

A Bump in the Road: NYSE Wins Regulatory Approval

May 17, 2017

Regulatory Sanctions

Ex-Nomura Head Traders Charged by SEC

May 15, 2017

Compliance Concepts

Culture, Conflicts of Interest and Ethics is ‘So Last Year‘

May 12, 2017

Regulatory Sanctions

No SEC Enforcement Action in Whistleblower Case Where Deutsche Bank MBS Traders Lost $550Mn

May 11, 2017

Crimes

SEC Closes Book on Boiler Room Operation

May 11, 2017

Regulators

Senator Warren Aide Running for Seat on the SEC

May 8, 2017

Regulatory Sanctions

For Eaton Vance Portfolio Manager, It Was 'Game, Set and Matched-Trades' - SEC

May 8, 2017

Compliance Concepts

2017 National Compliance Outreach Program for Broker-Dealers

May 3, 2017

Regulatory Sanctions

Prop Traders Violate Reg SHO, CEO Violates Annual Certification

April 29, 2017

Crimes

Ex-LPL Broker Defrauded 23 Investors - SEC

April 28, 2017

Wall Street News

Wall Street Quick Takes, 4/27

April 27, 2017

Crimes

Nomura VP Charged with Insider Trading - SEC

April 26, 2017

Hirings/Transitions

Jamie Selway, a Front Runner to Run SEC Trading and Markets Division

April 26, 2017

Crimes

Individual Defrauds Hundreds of Broker-Dealers, Gets 15 Months in Jail

April 24, 2017

Regulatory Sanctions

SEC Disciplinary Authority on Trial Before the Supreme Court

April 18, 2017

Regulatory Sanctions

Regulatory Sanctions Quick Takes - 4/18

April 18, 2017

Regulators

Former SEC Director Norm Champ Chronicles Time with the SEC

April 17, 2017

Regulatory Sanctions

SEC Freezes Brokerage Accounts Behind Alleged Insider Trading

April 16, 2017

Regulatory Sanctions

Regulatory Sanctions Quick Takes

April 12, 2017

Regulators

Trump Lifting Federal Hiring Freeze - Will SEC and CFTC Ever Hire Again?

April 12, 2017

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