SEC Enforcement: Former Polycom Owner Faked Expense Reports
Meanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
Managing Tax Risks of Specific Types of Real Estate Investments, Pt. 3
In this third and final installment on real estate taxation, we look at how tax considerations and strategies vary among specific types of investments.
Oppenheimer & Co. Fined $20M Over Penny Stocks, AML Violations
Oppenheimer & Co. agreed Tuesday to pay $10 million to Treasury and $10 million to the SEC for penny-stock related misconduct.
E-Commerce Opportunities Heat Up Across Asia
Although e-commerce has been talked about for a while, the sector is starting to really heat up now.
'Hide Not Slide' Orders Were Slippery and Hidden
What's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.
Time to Reform FINRA: Mercatus Paper
A paper from the Mercatus Center's Hester Peirce argues that FINRA exhibits “a troubling independence from government, industry and the public.”
Schorsch’s RCS Seeks Distance From ARCP as Empire Fractures
Nicholas Schorsch's real estate group depends on RCS' money-raising ability, one observer says.
SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
FINRA’s Senior VP of Enforcement Moves to Shulman Rogers
Emily Gordy, FINRA’s senior VP of enforcement, has joined Shulman Rogers as chairwoman of the firm’s Financial Industry Regulatory Group.
SEC Split on Including Brokerages in Trading Safeguards
Rules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.