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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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Regulators Getting Animated: SEC (Reg. BI), DOL (Fiduciary Rules), NASAA-SEC-FINRA (Exploiting the Elderly) ... And Other Headlines and Headliners
May 26, 2019
- - Compiled by Howard Haykin
FINES, SANCTIONS, LEGAL ACTIONS:
- SEC Charges Individuals, 3 Companies of Fraudulent Prime Bank Scheme [SEC]
- Arbitrators Deny Ex-Merrill Employee’s Big Stock-Decline Claim [AdvisorHub]
- Pennsylvania Accuses Financial Firms of Inflating Prices of Fannie Mae, Freddie Mac Bonds [AssociatedPress]
- Nasdaq CEO’s Social Media Messages Land Her in Court vs. ETF Managers Group [NYPost]
PEOPLE & COMPANIES:
- Soros Bets on GAM Holding as Scandal-Hit Swiss Firm Courts Buyers [Bloomberg]
- Deutsche Bank, Capital One: Trump Appeals Judge’s Ruling that Banks Can Comply with House Democrats’ Subpoena for Financial Records [CNBC]
- Muni-Junk Titan Nuveen Starts Fund to Take Advantage of Defaults [Bloomberg]
HEADLINES & HEADLINERS:
- NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet Dealing with Suspected Senior Financial Exploitation [FINRA]
► SENIOR SAFE ACT FACT SHEET [FINRA]
- Amazon Shares Will Reach $3,000 in 2 Years Without the Company Really Trying - Piper Jaffray [CNBC]
- Robert Mueller Wants to Testify In Private Before Congress - House Judiciary Chairman Jerrold Nadler [CNBC]
- DOL to Issue in December New Rules on Fiduciary Duties [AdvisorHub]
- SEC Sets June 5 Vote on Regulation Best Interest [ThinkAdvisor]
- House Passes 'Critical' Retirement Overhaul - SECURE Act (Setting Every Community Up for Retirement Enhancement) [WealthMgmt]
► House Passes Bipartisan Retirement Bill—Here’s What it Would Mean for You if it Becomes Law [CNBC]
