By Tammy Whitehouse2014-08-29T10:15:00
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2015-09-01T14:00:00Z By Joe Mont
Image: That the SEC endures its share of politics is not exactly news—but the amount of politics, and the sheer partisan in-fighting at the agency? That’s rising. Split votes are more common, published dissents from commissioners more frequent. “Sometimes when I see what’s going on now, I’m sorry I ever ...
2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
2026-03-19T21:08:00Z By Aaron Nicodemus
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
Site powered by Webvision Cloud