Court Rules Against SEC in Section 10(b) Case

By Bruce Carton2010-07-13T00:00:00

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SEC Aggressively Policing Swaps After Recent Loss

2010-07-13T00:00:00Z By Melissa Klein Aguilar
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FINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers

2025-11-07T22:18:00Z By Adrianne Appel

First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
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Q&A with former FCPA unit chief Charles Duross on the DOJ’s monitorship policy

2025-11-06T19:06:00Z By Jaclyn Jaeger

Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.