Gallagher says some larger funds should not be subject to new registration rule; Plaze says exemptions will be rare
Convicted in 2005 of looting Tyco International, Dennis Kozlowski now participates in a work-release program where he works as a financial consultant for a non-profit organization that helps ex-convicts.
Citigroup Inc. and the U.S. Securities and Exchange Commission won a delay in the trial of a lawsuit the agency brought against the bank while an appeals court considers a judge's refusal to approve their $285 million settlement.
Having attended the Technology Tools for Today and FPA Business Solutions conferences for several years, and served on the latter's business task force for the past four, I have come to the conclusion that the two events overlap.
Swat team created in 2009 to target wealthy filers seeing planty of action
Income inequality up 18% since 1967; rose the most during Reagan era
Jennings pleads not guilty to allegedly stabbing cabbie after disupte over fare
Another distraction has hit House Financial Services Chairman Spencer Bachus, potentially creating more obstacles for his legislation to establish a self-regulatory organization for investment advisers.
The Securities and Exchange Commission is continuing to beef up and streamline its technology, adding new systems to track and catch fraudsters and other financial miscreants.
Callahan accused of using $3.35 million of investor money to help purchase property
Administration's proposed budget would boost funds for SEC; more examiners, more exams
Advisory unit loses latest appeal of raiding case stemming from brokers' move to Stifel in 2008; ordered to pay lawyers' fees
NAIBD calls commission's insistence that agency cover Stanford losses 'a misfit solution'
