- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2019-03-07T20:38:00
The Financial Industry Regulatory Authority fined Cantor Fitzgerald $2 million for Regulation SHO violations and supervisory failures spanning a period of at least five years.
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2023-06-13T18:55:00Z By Kyle Brasseur
New Jersey-based investment adviser Sabby Management and its managing partner were charged by the Securities and Exchange Commission with engaging in a fraudulent short selling scheme involving the stocks of nearly a dozen public companies.
2020-09-30T16:35:00Z By Jaclyn Jaeger
The SEC has hit Morgan Stanley with a cease-and-desist order imposing a censure and a $5 million penalty resulting from violations of Regulation SHO, the agency’s regulations governing short sales.
2025-04-04T20:04:00Z By Oscar Gonzalez
The European Union’s General Data Protection Regulation has been in effect since 2018, requiring companies to securely handle users’ personal data. The European Commission will reportedly review the regulations and claw back some of the rules, which could make doing business in Europe a little easier for these companies.
2025-04-04T15:40:00Z By Ruth Prickett
An accessible website should be a basic requirement for businesses, allowing the largest number of people to access a company’s content and services. With technology as an enabler, it also makes good business sense. After all, why would any organization want to hinder customer access? However, many websites are not ...
2025-04-03T13:40:00Z By Adrianne Appel
A Federal Trade Commission case against insulin price gouging has come to a screeching halt after two Democratic commissioners were fired by President Donald Trump.
2025-03-27T13:11:00Z By Jeff Dale
The U.K. Financial Reporting Council issued penalties against PwC and a former auditor over deficiencies on work related to the 2019 financial statements of now shuttered Wyelands Bank.
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