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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Billionaire in Pump-And-Dump Scheme - And Other Fines, Sanctions, Headlines & Headliners
FINES, SANCTIONS, LEGAL ACTIONS:
- Ex-Broker at Morgan Stanley to Plead Guilty in Insider-Trading Case [AdvisorHub]
- Attorney in SEC Enforcement Action Indicted for Penny Stock Fraud [SEC]
- Billionaire Participated in Pump-and-Dump Microcap Frauds Led by Barry Honig [SEC] [SEC Complaint]
- Star Broker Accuses UBS of Gender Discrimination [Bloomberg]
PEOPLE & COMPANIES:
- Berkshire Hathaway Stock Nears Buy Point Amid This Trio of Catalysts [InvestorsDaily]
- Millennium Shuts Down Pioneering Quant Hedge Fund [Bloomberg]
HEADLINES & HEADLINERS:
- FAQs: Qualification and Registration Requirements [FINRA]
► Section 1: Former, Current and Future Registrants
► Section 2: Permissive Registrations
► Section 3: Financial Services Affiliate Waiver Program
► Section 4: Principal Financial Officer and Principal Operations Officer
► Section 5: Registered Persons Functioning as Principals for a Limited Period
- Commissioned Retirement Accounts Are Coming Back [Barrons]
- Warren Buffett: Why Bonds Are a Terrible Investment [GuruFocus]
- Older Job Seekers Should Watch Out for These Age Discrimination Red Flags [CNBC]
- If You Bought at the Top of the Crypto Bubble, Here's How Much You've Lost [CNBC]
- [Legal] Insider Selling Jumps to Highest Level of Year as Execs Fear Volatile September [CNBC]
- Harvard Stays on Top of WSJ/THE College Rankings [WSJ - subs reqd]
