SEC Gives First Whistleblower Award to Former Company Officer
The ex-officer was eligible for the award because the compliance department failed to address company fraud.
Senate Appropriations Chair Mikulski to Retire
Longest-serving woman in the Senate says she’ll spend the next two years “fighting” for constituents and plans to introduce a student loan debt bill.
Fight Back Against ‘Aggressive’ Exams
You have gotten the call, and the SEC is coming. What now? Are you ready? How do you prepare?
Dishonest Services: The SEC's Fight Against Public Corruption
We often think of laws directed toward combating public corruption as anti-bribery and anti-kickback laws.
The Third Rail of American Politics Is Live
The Congressional Budget Office's economic outlook for the next 10 years, released in late January, found that the federal deficit will balloon to 4% of GDP by 2025 from 2.8% today, thanks in large part to entitlement programs like Social Security.
Keith Hall Named New CBO Director, Replacing Elmendorf
Keith Hall, chief economist of the International Trade Commission, will start his four-year term on April 1.
Intuit Denies Putting Profit Before TurboTax User Security
Intuit Inc., maker of TurboTax, denied claims that it prioritized the processing of fraudulent state and federal tax refunds at the expense of customers.
Enforcement: Broker Convicted of Bilking Elderly Relatives in Fake Hedge Fund
Meanwhile, Goodyear agreed to pay $16 million to the SEC to settle bribery charges.
Gifts and Entertainment: SEC Reminds Advisors of the Rules
An SEC Guidance Update is a good reminder of the G&E limitations on funds and their advisors; RIAs and BDs should take heed as well.
NY Attorney General Floats Whistleblower Incentive Bill
Whistleblower law "will be the strongest, most comprehensive in the nation, and is long overdue for a state with the world’s most important financial markets."