Hugh Kennedy
The SEC certainly hasn’t been shy about emphasizing its focus on the cybersecurity protections being put in place by investment advisers and the need for ...
Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...
For the first time since last summer, FINRA released March 4 seven new frequently asked questions tied to the SRO’s research rules. In this go ...
A new office within the SEC’s Office of Compliance Inspections and Examinations will consolidate and streamline OCIE’s risk assessment, market surveillance, and quantitative analysis teams. ...
The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...
You can now register for the SEC’s national compliance outreach seminar slated for April 19 at Commission headquarters in Washington, D.C. In-person registration is limited ...
FINRA is following through on the pledge made in the SRO’s 2016 exam priorities letter to focus on broker-dealers’ firm culture (IA Watch, Jan. 21, ...
A manipulative trading scheme to artificially inflate the market price and trading volume for the common shares of IceWEB has led to the barring from ...
Come May 16, start-up and early stage companies will be permitted to use crowdfunding to offer and sell securities to investors (IA Watch, Oct. 30, ...
President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year ...