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Bill Myers

Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
Sideletter
SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...
Banks would be allowed to invest in several different kinds of private funds under a massive new set of reforms being considered by Washington regulators. ...
SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...
The latest proposed revision to the Volcker rule
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
A convicted hedge fund swindler took “rebranding” to new extremes by inventing a whole new identity in order to con investors in a crypto-currency, federal ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
The former CEO of a New York broker-dealer and one of his trusted employees are facing stiff prison terms after they were arrested on charges ...
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
On the same day an online shopping executive pleaded guilty to state fraud charges, the SEC moved to relieve him and his company of at ...
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...
The SEC has dropped its ADR hammer again, this time on a New York broker-dealer Jefferies.  The firm will now pay nearly $4 million in ...
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