Bill Myers
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
A former NFL linebacker is facing 330 years in prison after a federal jury convicted him of a long-running, $10 million fraud. Merrill Robertson, Jr., ...
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
Broker-dealers who do business in Europe will have an extra three years to get their paid research affairs in order after the SEC agreed to ...
The SEC announced Nov. 4 that it will extend its no-action letter for firms trying to comply with the European Union’s Markets in Financial Instruments Directive ...
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The SEC is considering rules that it hopes will speed up exemption applications. In a 55-page rulemaking notice released Oct. 21, the Commission says it ...
Federal authorities have indicted a former SEC investigator on charges he tried to sweeten a prospective employer by leaking details of an ongoing investigation to ...
Don't bet on a delay in Reg BI
SEC Chairman Jay Clayton says there will be no extension on the Commission’s disputed Reg BI standards. “I think people should be ready,” the chairman ...
Firms should err on the side of disclosure when they’re facing cybersecurity threats, one of the SEC’s top enforcement officials said Oct. 23. “The fact ...
We talked last week about how an aging population is going to challenge broker-dealers and especially advisers to protect their aging clients from being conned ...
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...
An investment adviser to a private African development fund left the meter running on a mine and now will have to pay the fare, the ...
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...
The CCO of a Colorado private equity firm will pay $15,000 to settle claims that he helped his bosses defraud investors in a $25 million ...
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