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Browsing Hashtag: #Enforcement

People

SEC Names New Director for San Francisco Office

May 31, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of December 4

December 4, 2018

People

SEC Promotes Two in Enforcement

September 7, 2018

Hirings/Transitions

FINRA: Latest Job Postings - July 17

July 18, 2018

Hirings/Transitions

FINRA: Latest Job Postings - March 12

March 12, 2018

People

SEC Enforcement Has New Chief for Complex Financial Instruments Unit

December 7, 2017

Compliance Concepts

SEC Enforcement: Priorities for 2017

November 16, 2017

Regulators

SEC Enforcement: A Banner Year

November 16, 2017

People

FINRA's Susan Axelrod is Ending 28-Year Enforcement Career

October 26, 2017

Regulators

Chairman Clayton Names His Executive Staff

September 5, 2017

Regulators

FINRA Reorganizes Enforcement, Names Susan Schroeder as Chief

July 26, 2017

People

SEC Names 3 Senior Officials in Enforcement, Corporate Finance

June 21, 2017

People

It's Official - Stephanie Avakian, Steven Peikin to Co-Direct SEC Enforcement

June 12, 2017

Hirings/Transitions

Bradley Bennett Rejoins Baker Botts from FINRA

April 22, 2017

Regulators

James McDonald Named Enforcement Director at CFTC

April 6, 2017

Regulators

SEC Opens Registration for RIA/RIC Compliance Outreach Programs

March 24, 2017

Regulatory Sanctions

An International Comparison of Insider Trading Enforcement

March 13, 2017

Regulators

SEC Considers Curbing Senior Attorneys’ Powers to Probe Wall Street

February 16, 2017

Compliance Concepts

Global Corruption Alive and Well

January 26, 2017

Regulators

SEC Exodus: SEC Associate Director of Enforcement in Chicago is Retiring

January 25, 2017

Regulators

CFPB to Continue Enforcing Existing Rules in Trump Administration - Cordray

January 25, 2017

Hirings/Transitions

Jennifer Diamantis to Head SEC Office of Market Intelligence

January 19, 2017

Regulators

CFTC Exodus: Enforcement Chief Stepping Down

January 19, 2017

People

SEC Exodus Continues: Chief of Enforcement’s Complex Financial Instruments

January 13, 2017

People

FINRA Enforcement Chief Brad Bennett Is Leaving

December 15, 2016

Regulators

ICE Futures Exchange Gets Passing Grade

December 7, 2016

Big Banks

How to Kill Volcker Rule? Don’t Enforce It

November 28, 2016

Regulators

White’s SEC Tenure Hamstrung by Political Divisions

November 14, 2016