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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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Self-Destructing Emails In Gmail - and Other Fines, Sanctions, Headlines & Headliners
August 21, 2018
FINES, SANCTIONS, LEGAL ACTIONS:
- Goldman Facing U.K. Probe Over MiFID Reporting Faults [Bloomberg]
- Chancery Court Denies TRO After Alleged Defamation to SEC and FINRA [BrokeAndBroker]
- DOJ Sues Ivanka Pal for $60Mn Over ‘Sham Transactions’ [NYPost]
- $5Mn Awarded in FINRA Customer Arbitration - Now Let's Beat the Dead Horse [BrokeAndBroker]
PEOPLE & COMPANIES:
- Recent Struggles of Bill Gross Exemplify Dangers of Bond Fund Investing in Today's Volatile Market [CNBC]
HEADLINES & HEADLINERS:
- How to: Self-Destructing Emails In Gmail [CNBC]
- SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure [SEC]
► Final Rule (15c2-12) [SEC]
- Crypto Trading Revenue May Double - With Opportunities in Custody, Asset Management - Bernstein Analyst [Bloomberg]
- After Bitcoin Boom: Hard Lessons for Cryptocurrency Investors [CNBC]
- SEC Adopts Amendments to Simplify & Update Disclosure Requirements [SEC]
► Final SEC Rule [SEC]
- Trump Asks SEC to Study Semi-Annual Reporting System (In Lieu of Quarterly Reports) for Public Firms [NYPost]
