- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: In response to SEC Chair Mary Jo White’s recent remarks that the SEC might replace Jim Doty as chairman of the PCAOB, nearly 30 individuals with heavy credentials in financial reporting from numerous policymaking groups fired off a letter to White, stumping for Doty’s reappointment. They credit Doty with ...
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Elon Musk, the world’s wealthiest person and the apparent right-hand man of incoming U.S. president Donald Trump, has been taken to court for a third time by the Securities and Exchange Commission for allegedly violating securities law.
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
Robinhood, a disruptive force in the market for Main Street investors but also a serial offender of securities laws, will pay a total of $45 million to settle numerous violations of SEC rules and regulations by two of its broker-dealers.
