- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
For the third year in a row, the Securities and Exchange Commission will reduce the filing fees public companies and other issuers pay to register their securities. In fiscal year 2016 fees will be set at $100.70 per million dollars, a drop from the current filing fee for registration statements ...
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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.
A Nevada energy and manufacturing company headquartered in Nova Scotia agreed to pay $1 million to settle charges levied by the Securities and Exchange Commission for alleged market manipulation and fraud, while the agency further investigates its former chief executives.
