Investors should consider seeking the advice of an advisor, regulators say
Regulator seeks comment on alternative uptick rule
The FSA and the SEC are taking aim at compensation structures, especially those based on commissions
Allegations show that BofA misled investors about billions of dollars in bonuses paid to Merrill Lynch executives
SEC Investor Advisory Committee outlines agenda
SEC alleges unlawful insider trading before Nova Chemicals merger
Measure designed to improve market transparency
Settlement enables ARS customers to receive all of their money back
The U.S. Securities and Exchange Commission has charged 11 individuals who it alleges were involved in separate insider trading schemes ahead of corporate merger announcements, the regulator said Wednesday.The SEC alleges that five individuals, including a former investment banker at Goldman Sachs & Co. and a former financial analyst at a subsidiary of Hartford Financial […]
The U.S. Securities and Exchange Commission has created a new position to lead its pursuit of diversity in the workplace.The SEC announced that Ronald Crawford will become the agency’s first chief counsel for diversity and policy initiatives within the Office of Human Resources. Crawford is currently the senior associate regional director in the SEC’s Atlanta […]