- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Recent years have seen significant changes in terms of how securities offerings are conducted, with many of the recent regulatory reforms for public offerings the result of the JOBS ACT. At a conference in New York City on Wednesday, Securities and Exchange Commission Chairman Mary Jo White spoke about ...
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Amid speculation of when, or if, Congress would get around to a JOBS Act 2.0—a sequel to a 2012 package of securities law reforms—some of those items surprisingly appeared in a new spending bill for transportation infrastructure. Tucked into the bill are a variety of requirements for the SEC regarding ...
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.
