SEC Announces 3 Senior-Level Appointments
SEC announced this week a new administrative law judge and two other personnel moves.
SEC Fines Barclays $15M Over Lehman Acquisition Failures
Barclays failed to establish a critical compliance foundation when it acquired Lehman’s advisory business, the regulator says.
Would Your Firm’s Cybersecurity Policy Meet Regulatory Muster?
Law firm Stark & Stark has teamed with Right Size Solutions to ensure that its 900-plus advisory firm clients’ cybersecurity policies withstand regulatory scrutiny.
SEC Plans to Hand Out Whopping $30 Million Whistleblower Award
The SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
Brooklyn Man Passed Illicit Stock Tips on Napkins: SEC
The SEC charged a Brooklyn man with passing tips at Grand Central Terminal as the middleman in a $5.6 million insider trading scheme.
Morgan Stanley to Absorb Customer Losses After Mutual Fund Snafu
Morgan Stanley will offer to swallow some losses incurred by customers who bought mutual funds after failing to make fund prospectuses accessible online.
Insider Trader Mostly Unfazed by Co-Worker's Insider Trading Arrest
We present for your reading pleasure: the worst way to insider trade.
How to Join 9,000 Taxpayers With Romney-Sized IRAs
If it seems impossible to amass a fortune in an IRA during your lifetime, think again.
SEC Hits New York HFT Firm With Biggest-Ever Net Capital Fine
The SEC has fined a high-frequency trading firm $16 million, the largest penalty ever for a net capital violation.
SEC Cracks Down on 19 Firms, 1 Trader for Short Selling Prior to Stock Offerings
An SEC dragnet of short sellers has hauled in 19 firms and one trader, costing the violators $9 million in disgorgement, interest and penalties.