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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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New SEC Commissioner, FINRA Considers Continuing Education Enhancements - And Other Fines, Sanctions, Headlines & Headliners
FINES, SANCTIONS, LEGAL ACTIONS:
Cannabis Investment Fund and Founder Defrauded Investors [SEC] [SEC Complaint]
Two Men Engaged in Fake Day-Trading Scheme [SEC] [SEC Complaint]
American Express Investigated Over its Currency Pricing [MarketWatch]
ING Financial Markets to Pay $5Mn Over Handling of 'Pre-Released' ADRs - NYSE [Yahoo]
Blue Capital Asset Management and President Hid Large Losses from Investors [SEC]
PEOPLE & COMPANIES:
Elad Roisman Confirmed by Senate as SEC Commissioner [SEC]
Stifel Becomes Latest Lender to Grow Leveraged Debt Business [Bloomberg]
HEADLINES & HEADLINERS:
FINRA Considers Enhancements to Continuing Education Program [FINRA] [CE Council and FINRA Request Comments]
SEC Awards >$54 Million to 2 Whistleblowers [SEC]
