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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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U.S. Exchanges to Sue SEC, ETF Failure Rate is High ... And Other Headlines and Headliners
February 18, 2019
FINES, SANCTIONS, LEGAL ACTIONS:
- Big U.S. Exchanges to Sue SEC Over 'Overreaching' Fee Experiment [Reuters]
- FINRA Fines Kestra Financial for Mutual Fund Share-Class Sale Violations [AdvisorHub]
- Ex-Goldman Banker to Return to U.S. to Face 1MDB Charges [Reuters]
- Cognizant Technology, 2 Former Execs Charged with FCPA Violations [SEC]
- Magna Group, 4 Individuals Charged in Elaborate Microcap Stock Fraud [SEC]
HEADLINES & HEADLINERS:
- Wall Street More Than Willing to Fund the Green New Deal [Businessweek]
- Trump Can’t Sweep Aside the Lies Manafort Told Mueller [Bloomberg]
- Junk Bonds Defy Wall Street Recession Signal [Bloomberg]
- Global Blockchain Market to Reach Nearly Half a Trillion Dollars by 2030 - IHS Markit [GlobalCustodian]
- JPMorgan's Crypto Coin Puts Ripple's Relevance in Question [Bloomberg]
- Variable Annuity and Variable Life Insurance Contracts: Extended Comment Period for Proposed Rule Changes [SEC]
- ETFs are Hot, But Failure Rate is High [Bloomberg]
- Charlie Munger Says California, Connecticut Have Been 'Stupid' for Driving Rich People Away [CNBC]
