36 BDs to Pay SEC $9M for Muni Bond Underwriting Failures
Raymond James, Merrill Lynch and Goldman Sachs were among the firms fined.
SEC Private Fund Unit Focused on Conflicts, Real Estate Managers
"We’ve taken an investor protection view of regulating private equity," said SEC's Rozenblit.
SEC Fines KBR for Rules Stifling Whistleblowers
KBR Inc. violated the whistleblower protection rule by using "improperly restrictive language" in its confidentiality agreements, the SEC says.
UBS Securities to Pay $14M to SEC Over Dark Pool Violations
“Today’s charges are notable for their breadth," says SEC's enforcement chief.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
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.
Fi360 Urges SEC to Consider Third-Party Advisor Exams
The Securities and Exchange Commission should revisit the idea of using third-party audits to boost the number of advisor exams in lieu of assessing user fees or appointing a self-regulatory organization to conduct such exams, says fi360.
fi360 Urges SEC to Consider Third-Party Advisor Exams
As user-fees bill and SRO options stall, fiduciary advocate fi360 suggests third-party compliance reviews.
SEC to Muni Violators: Self-Report, or Face Tougher Sanctions
The SEC on Monday encouraged issuers and underwriters of municipal securities to self-report violations under a new continuing disclosure initiative.
SEC Uses First-of-Its-Kind Deferred Prosecution Agreement
Deal signals that "the agency will be pushing harder to proactively encourage people to come forward with evidence," lawyer Steve Crimmins says.