FINRA Launches Targeted Exam of BDs' Crypto Asset Communications
By Melanie WaddellThe exam targets broker-dealer practices regarding retail communications concerning crypto asset products and services.
November 15, 2022
SEC Enforcement Actions Brought in Record $6.4 Billion in 2022The number of enforcement actions jumped 9% from 2021.
November 15, 2022
Berkshire Hathaway's Charlie Munger Criticizes Crypto 'Delusion'Warren Buffett's number two was interviewed after Berkshire Hathaway took a stake of about $5 billion in Taiwan Semiconductor.
November 15, 2022
Large Envestnet Shareholder Slams Company's PerformanceIn an open letter, Impactive Capital criticized Envestnet's board for boosting management pay despite "sub-market returns."
November 15, 2022
New York Proposes Cybersecurity Rule UpdateRequirements may ease for former insurance brokers but tighten for big companies.
November 15, 2022
Goldman Sachs Paid Over $12M to Bury Partner's Claim of Sexist CultureThe confidential payment is likely among the biggest of its kind on Wall Street, where firms use deep pockets to prevent accusations of from becoming public.
November 15, 2022
Reg BI Remains Top Priority for 2023 ExamsAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
November 14, 2022
Women Boosting Savings, Investments as They See Recession Ahead: SurveyIn a new survey, 68% of women expect a recession and 92% say they're maintaining or boosting savings.