Bill Myers
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
Investment advisers continue to lead the league in spending time in the SEC’s penalty box, the Commission has concluded its in annual enforcement report. Thirty-six ...
Broker-dealers who do business in Europe will have an extra three years to get their paid research affairs in order after the SEC agreed to ...
The relief was due to expire July 3, 2020. It has now been extended to July 3, 2023
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The SEC is considering rules that it hopes will speed up exemption applications. In a 55-page rulemaking notice released Oct. 21, the Commission says it ...
Federal authorities have indicted a former SEC investigator on charges he tried to sweeten a prospective employer by leaking details of an ongoing investigation to ...
Don't bet on a delay in Reg BI
Firms should err on the side of disclosure when they’re facing cybersecurity threats, one of the SEC’s top enforcement officials said Oct. 23. “The fact ...