- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
With majority approval by members of the Senate Banking Committee, President Donald J. Trump’s nomination to head the SEC, Jay Clayton, now heads to a confirmation vote before the full Senate.
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Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
