Bill Myers
Gensler gets proxy reform proposals, municipal advisors get a dubious first, SPAC titans get a letter from Democratic Senators, and state regulators show their work
In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...
Remarks Before The Future of Asset Management North America Conference Washington D.C. Sept. 29, 2021 I’d like to thank the Financial Times for putting on ...
Committee recommends 'chaperoned access'
State regulators opened 5,501 new investigations last year, focusing on digital assets, precious metals, social media, and self-directed individual retirement accounts, NASAA says in its ...
MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...
Pair gamed 'meme stonk' chaos, feds claim
SEC to be remote through Jan. 3, sources say
One in five deficiencies linked to suitability, NASAA says
States want beneficial owners on Form D