ISE vice chairman and two partners named
Action taken to combat "corporate hijackings"
U.S. derivatives regulators and securities regulators announced a deal intended to improve cooperation between them, enabling them to deal with financial innovations that blur the lines between different products.The U.S. Commodity and Futures Trading Commission and U.S. Securities and Exchange Commission announced that their respective chiefs, acting CFTC chairman Walter Lukken and SEC chairman Christopher […]
Rule highlights the specific liability of parties who deceive others
SEC orders firm to pay US$8 million penalty
The U.S. Securities and Exchange Commission has appointed a new head for its Office of Risk Assessment, and plans to beef up its efforts to identify vulnerabilities.The SEC announced that Jonathan Sokobin has been named Director of the agency’s Office of Risk Assessment, which is responsible for helping the SEC develop new ways to anticipate […]
U.S. regulator launches Financial Explorer
SEC, NASAA and FINRA aim to shield seniors from investment fraud
Ritchie Multi-Strategy Global Trading Ltd. and two executives were charged
New office will expedite the return of funds to injured investors