Hugh Kennedy
Everyone from the White House on down seems focused on enhancing the industry’s cybersecurity preparedness and practices. Last week, President Obama released an executive order ...
Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a high-frequency trader ...
Despite revisions instituted to placate initial dissention, FINRA’s controversial Comprehensive Automated Risk Data System is still being widely panned. The SRO’s new CARDS rule proposal ...
The SEC’s Office of Compliance Inspections and Examinations has named Marc Wyatt as its new deputy director. He’s been with the Commission since December 2012 ...
On the same day the SEC reported bringing a record amount of enforcement actions in FY 2014 and touting a number of “first-ever” cases, the ...
A record 755 enforcement actions filed in 2014 has SEC Enforcement Director Andrew Ceresney deeming FY 2014 “a banner year for the Enforcement Division.” His division handled twice ...
Sweep exams, risk alerts, regulator roundtables, pilot surveys, trade association guidance and almost daily headlines have made the issue of cybersecurity impossible to ignore for ...
You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...
The clock is ticking on SEC Chair Mary Jo White’s stated desire to determine by year’s end what, if any, options to pursue when it ...
The NASAA has released preliminary findings from its annual enforcement survey. The highlight: cases stemming from state securities regulators in 2013 resulted in 33% higher ...