- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Touting the SEC’s recent accomplishments, Chairman Jay Clayton maintains modernization helps advance the regulator’s “tripartite mission” and gives some hints about next year’s agenda.
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There are a few clouds on the horizon as some on Capitol Hill wonder whether a purported concern for the “Main Street investor” is cloaking a deregulation initiative.
SEC Chair Jay Clayton and Commissioner Elad Roisman, among others, convened a roundtable to explore proposals to proxy voting rules calling for consistent regulation across the markets and better disclosure of conflicts to clients.
The SEC has adopted a rule that allows companies interested in potentially going public to gauge interests in IPOs, instead of just emerging growth companies covered under the current rule.
A bank examiner and senior manager at the Federal Reserve Bank of Richmond pled guilty to insider trading after allegedly misappropriating confidential information on seven banks to make profitable trades.
New York-based investment firm Drexel Hamilton will pay more than $1.1 million in penalties, with four current and former employees paying fines as well over committing hundreds of violations of rules regarding the sale of municipal bonds.
A publicly traded cryptocurrency mining company will pay $10 million and completely change its business model to one with “lower corruption risk” as part of a settlement over violations of the Foreign Corrupt Practices Act (FCPA), two regulators announced.
