A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...
Whistleblower rule violations because the confidentiality agreements impeded clients from reporting potential securities law violations to the Commission
Here are our hottest stories from August
Peirce and Uyeda dissent, criticize fellow commissioners for not going back to public comment drawing board
Exempt private equity, venture capital managers face biggest lift
It’s possible that the Missouri secretary of state’s office will appeal. In a statement, the office criticized the judge’s decision, calling it morally wrong
The industry shares its thoughts about AI with Treasury
Chief compliance officer pay at private companies slumped slightly last year, and a gender gap persists, a new study by an executive search firm finds. ...
RCW shares a new SEC exam sweep document request letter going to advisers
These changes are retroactive to last June