Displaying 10 results
Texting employees land RIA with $6.5M SEC fine
Multiple incidents of using personal text communications were discovered.
Industry groups accuse SEC of trying to ‘vastly expand its authority’ over dealer rule
Three associations say investors will lose out from expanded dealer definitions.
SEC approves rule requiring hedge fund strategy disclosures
Funds will be required to share more information with regulators.
SEC crypto-related enforcements grew exponentially in 2023
There were more enforcement actions taken last year than ever before.
Franchise Group CEO steps down amid SEC probe
Brian Kahn is exiting as CEO just months after a leveraged buyout of Franchise Group aided by B. Riley Financial.
What is the ‘basis trade’ and why is the SEC concerned?
The space is dominated by only a few hedge funds, and that could be risky.
Europe might be getting its own SEC
ECB president wants to give regional securities regulator similar powers to the US body.
Citadel, ASA sue SEC over trading data changes
The firm and trade association petitioned the court regarding the Consolidated Audit Trail.
SEC commissioner sounds alarm on syndicated loans risk
The investments could pose a risk to the wider financial system, Caroline Crenshaw warns.
Nine RIA firms fined $850K by SEC for marketing rule violations
The firms were caught in a sweep wrongly advertising hypothetical performance.
