In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...
Many eyes are watching to see how the SEC vs. The Robare Group ($150M in AUM) case plays out. Allegations of inadequate disclosures around conflicts ...
It’s a truism that our financial system is globalized, interconnected, and complex – and only grows more so each day. Geographic boundaries have not contained ...
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
Statement at Open Meeting on Rule 15b9-1 and Reg A+
Statement at Open Meeting on Rule 15b9-1
Statement at Open Meeting on Reg A+
Statement at Open Meeting on Rule 15b9-1
Statement at Open Meeting on Reg A+
Statement at Open Meeting on Rule 15b9-1