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TRENDING TAGS
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- 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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Investors Can't Differentiate Between Brokers and Advisers ... ... And Other Headlines and Headliners
December 19, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Firms, 18 Individuals Charged in Muni Bond 'Flipping' and Kickback Scheme [SEC]
- BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs [SEC] [SEC Order]
- Hymn For The Missing FINRA Public Customer Claimant [BrokeAndBroker]
PEOPLE & COMPANIES:
- Jeffrey Mooney: New Associate Director in Office of Clearance and Settlement [SEC]
- Scott Bauguess, Deputy Director of Division of Economic & Risk Analysis, is Leaving [SEC]
HEADLINES & HEADLINERS:
- Voters Are Just Now Questioning Trump's Honestly? - As Government Probes Gain Prominence [CNBC]
- Rand Corp. Confirms That Investors Can't Differentiate Between Brokers and Advisers [SEC] [RandReport]
- SEC Solicits Public Comment on Earnings Releases and Quarterly Reports [SEC]
- FINRA Updates Interpretations of Financial and Operational Rules [FINRA RegNote]
-
SEC Adopts Final Rules for Disclosure of Hedging Policies [SEC]
-
New SEC Reports on Credit Rating Agencies: Continued Focus on Compliance, Competition [SEC]
