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TRENDING TAGS
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- 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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Ex-S&P Managing Director Sanctioned Over CMBS Ratings ... And Other Headlines and Headliners
December 24, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- CFTC 2018 Enforcement Annual Report [CFTC] [Annual Report]
- Federal Reserve and FDIC Warn of ‘Living Will’ Shortcomings at 4 Foreign-Owned Banks: Barclays, Credit Suisse, Deutsche Bank, UBS Group [WSJ subsc req'd]
- SEC Obtains Judgment Against Ex-CEO in Transition Management Fraud Case [SEC]
- SEC Settles Charges with Previously Barred Buffalo, NY Adviser [SEC]
- Ex-S&P Managing Director Sanctioned Over CMBS Ratings [SEC]
PEOPLE & COMPANIES:
- Possible Buffet Successor Buys $20Mn Worth of Berkshire Hathaway Stock [Barron's]
- Wells Fargo Moves Jobs Abroad After U.S. Layoffs [Reuters]
- Life After UBS CEO Sergio Ermotti - Succession Planning Intensifies [Bloomberg]
- Details of Staley Allegations (at JPMorgan) Are Revealed, Then Deleted, by DFS [Bloomberg]
- N.Y. Regulator Vullo to Depart After Term Focused on Trump [Bloomberg]
- Martha Miller Named Advocate for Small Business Capital Formation [SEC]
- FINRA Announces Regional Committee, SFAC, and NAC Election Results and Appointments [FINRA]
HEADLINES & HEADLINERS:
- FINRA 2019 Holiday Margin Extensions Schedule [InfoNote]
- The Neutral Corner [FINRA]
- Bits & Bytes: A Look at Effective Cybersecurity Practices [FINRA Podcast]
- Report on Selected Cybersecurity Practices – 2018 [FINRA Podcast]
- FINRA Proposes Code of Arbitration Procedures Rule Changes [RuleFiling]
- SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions [SEC]
- Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule [SEC]
