Enforcement

A Gary Gensler-led SEC will skirr market structures—including payments-for-order flow—and may even be open to rulemakings to fix problems it finds there, the would-be chairman ...

SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...

Robinhood CEO Vladimir Tenev says his firm shut down GameStop trading on his site because it was worried about “risk.” “At approximately 5:11 a.m. EST ...

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

Munish Sood made eight payments totaling $24,500 to Agent2. In return, Agent2 referred several amateur basketball players (now NBA players) to PWM. Three of those ...

“You’ll see it’s all a show,” Monty Python tells us, “Keep ’em laughin’ as you go/ Just remember that the last laugh is on you.” ...

Among the items in the mammoth recently passed defense bill was a provision that gives the SEC up to 10 years—twice the previous limit—after a ...

“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...

A New York dual registrant will pay $8 million to settle SEC claims that the firm lacked the proper policies & procedures to ensure they ...

BlueCrest Capital Management has agreed to pay $170 million in fines and disgorgement to settle SEC claims that the UK-based private fund adviser provided inadequate ...