Cryptocurrency

The SEC alleges that Dr. Xiaoyu Xia and Ms. Yanting Hu, residents of Beijing, China, each purchased out-of-the-money call options in 58.com in the time ...

Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...

In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...

Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...

SEC Obtains a Preliminary Injunction Against Two Former Employees of Capital One Financial Corporation for Insider Trading

SEC Charges a Third Trader in Louisiana-Based Insider Trading Case

The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...

Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...

Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...

The court filings are flying in the U.S. v. Newman insider trading case (IA Watch, Dec. 11, 2014). On Jan. 23, both the DOJ and ...