Hugh Kennedy
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 ...
Significant holes in the framework of a Miami-based brokerage firm’s customer identification program have led to a $1 million penalty for anti-money laundering rules violations. ...
Two of the biggest dark pool operators in the U.S. have agreed to the largest-ever penalties imposed on alternative trading systems. The firms were charged ...
NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...