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 to Hold Muni Advisor Compliance Summit
The SEC, FINRA and MSRB will hold inaugural Compliance Outreach Program for Municipal Advisors in Chicago on Nov. 3.
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.
Facing No Urgent Crises, SEC ‘Spreads Its Wings’
Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
SEC Enforcement: Ex-Wells Fargo Analyst, Trader Charged With Insider Trading
SEC also hits two for insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
Wells Fargo Research Analyst Told Trader What Stocks to Buy
Ex-Wells Fargo analyst Bolan and trader Ruggieri benefited so little from their alleged insider trading, it's hard to tell if they broke laws intentionally.
SEC’s Gallagher Warns of Bond Bubble
Retail investors would be most vulnerable to a sell-off in the $10 trillion bond market, the commissioner says.
‘Regulatory Capture’ by Wall Street Caught on Tape?
Secretly recorded tapes that appear to portray a supine New York Fed fearful of offending Goldman Sachs prompts renewed scrutiny of Wall Street behavior.
How 3 Advisors Handle Social Media Compliance
At FSI's FA Summit, three financial advisors discussed their social media best practices and how they each handle social media compliance.
Revenge of the Compliance Nerds: The SEC’s Whistleblower Program
What could possibly go wrong with the SEC's program encouraging compliance personnel at firms the SEC regulates to rat on their own firms?