BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Wall Street News
- Investments - Private
- Rules & Regulations
- Bad Advisors
- Boiler Rooms
- Terminations/Cost Cutting
- General News
- Donald Trump & Co.
- Big Banks
- Regulatory Sanctions
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
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
Pro-Crypto Elad Roisman Sworn in as SEC Commissioner
Elad Roisman has been sworn into office as an SEC Commissioner by SEC Chairman Jay Clayton, bringing the SEC to a full complement of 5 commissioners. Roisman's term runs until June 5, 2023.
2017 to Present: Chief Counsel, U.S. Senate Committee on Banking, Housing and Urban Affairs.
2014 to 2016: Securities/Senior Counsel, U.S. Senate Committee on Banking, Housing and Urban Affairs.
2012 to 2014: Counsel to Commissioner Daniel Gallagher, Securities and Exchange Commission.
2010 to 2012: Chief Counsel, NYSE Euronext.
2006 to 2010: Corporate and M&A Associate, Milbank, Tweed, Hadley & McCloy.
2003 to 2006: J.D., Boston University School of Law.
1999-2003: BA - History, Cornell University.
PRO-CRYPTO COMMISSIONER. Several cryptocurrency publications have extolled Roisman's support for digital currencies and believe he may be the 'bellwether' for SEC-approval of a bitcoin investment vehicle. With Roisman on board, 3 of the 5 SEC commissioners are pro-bitcoin ETF. Robert Jackson and Hester Peirce are pro-bitcoin, while Chair Jay Clayton and Kara Stein are anti-bitcoin.
According to a recent article in kryptomoney.com, Roisman took a strong stance earlier this year for fair regulation of cryptocurrency when he challenged regulators to act in a “fair and transparent manner” and ensure they are working as intended in line with the agency’s mission. In part, Roisman said:
“The SEC must examine and re-examine its rules, regulations, and guidelines to ensure that they are still working as intended to accomplish the SEC’s mission. This is most recently manifested in areas such as data protection and cybersecurity as well as the emergence of new investments and technologies such as initial coin offerings and blockchain.”