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'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.
'This is a process. You should look for small steps, rather than big pivots...'
'Final rule should be a minimum standard and not a maximum compliance threshold,' group says.
'We prefer not to hear a "check-the-box" presentation,' Polite says
Exchanges would follow 14 principles of Exchange Act Sec. 3D
Disclosure arbitrage made industry belle of Wall Street's ball
Commission "conflates" investor protection with risk mitigation, association says.
'Every innovation... carries risk...'
Certain types of deal may not require a fairness opinion, a case likely to be made to the regulator during the ongoing consultation period.
A Connecticut accountant and her firm let a private fund adviser juice his funds’ valuations in what one judge later called “a shocking fraud,” the ...