Bill Myers
Case exposed weaknesses in clubby sub line industry
'Egregious, long-running, and extensive fraud that went undetected for years' was 'very profitable component,' made up 25% of firm's revenues, feds claim.
'The SEC has not brought one enforcement action,' consumer advocate says. 'That’s not because all firms are complying...'
'Either way,' Chairman says, 'we need to hear from you...'
Court challenge a near certainty, while some wonder whether crypto is Chairman's target
Dem commissioner sees 'poor incentives,' worries about dilution, shareholder protection
Maplelane Capital violated books and records, Reg SHO rules, SEC claims
'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.
Firms struggle with alternative data, 'value-add' investors and expert networks, examiners find
SEC examiners issue a new risk alert on MNPI, tips on sharpening your firm's ESG focus, arrests in the Archegos case, and the proposed cybersecurity ...
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