Bill Myers
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 ...
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
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 ...