Bill Myers
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
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...