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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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Fidelity Offers Free Index Funds, CryptoCurrency Sell Off - And Other Fines, Sanctions, Headlines & Headliners
FINES, SANCTIONS, LEGAL ACTIONS:
Associating with Barred Adviser Lead to Sanctions for Buffalo Advisory Firm and Principal [SEC]
FINRA Ends the Beguine But Did It Begin the Beguine? [BrokeAndBroker]
PEOPLE & COMPANIES:
Fidelity Launches 1st-Ever Free Index Funds; Draws $1Bn in a Month [CNBC]
Citi to Buy Stake in Bank Leumi from Israeli Government [Reuters]
Citigroup CFO Gerspach to Retire, Be Replaced by Mason [Reuters]
SEC’s New Municipal Securities Director: Rebecca Olsen [SEC]
Top Goldman Banker Awaits Fate as New CEO Fills No. 2 Post [Bloomberg]
HEADLINES & HEADLINERS:
Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the 'Volcker Rule' [SEC]
Bitcoin Drops 3% in 10 Minutes, Ethereum Plunges 12% [Bloomberg]
Looking a Lot Like a Crisis - Emerging Market Selloff Has All the Hallmarks of Contagion [Bloomberg]
