All meme stocks articles

  • SEC

    SEC proposes sweeping changes to process for selling securities


    The Securities and Exchange Commission proposed a series of rules that would change the way securities are sold in U.S. markets and create new disclosures for broker-dealers and others seeking to trade securities on behalf of retail investors.

  • Compliance_Fail_Main_Art

    Top ethics and compliance failures of 2021


    Systemic risk management lapses at a financial services firm, allegations of toxic culture at a video game giant, and more of the same baffling behavior from one of the world’s largest tech companies comprise CW’s list of the biggest ethics and compliance fails of 2021.

  • GameStop sign

    MassMutual $4M fine a lesson in trader conduct oversight


    A subsidiary of Massachusetts Mutual Life Insurance agreed to pay $4 million after apparently missing nearly two years’ worth of red flags by one of its broker-dealers that turned out to be a driving force behind the GameStop stock trading craze.

  • GameStop

    SEC probing GameStop, others over ‘meme stocks’ craze


    Video game retailer GameStop, whose market volatility earlier this year led the so-called “meme stocks” craze, disclosed it is cooperating with an investigation launched by the Securities and Exchange Commission.

  • Gensler_May 6

    GameStop fallout: SEC’s Gary Gensler eyes reducing stock settlement period


    New SEC Chairman Gary Gensler discussed shortening the settlement period for trades and requiring new disclosures by broker-dealers as part of testimony before Congress regarding this year’s GameStop stock surge.

  • Gary Gensler hearing

    Senate confirms Gary Gensler as SEC chairman


    The Senate on Wednesday confirmed the nomination of Gary Gensler to replace Jay Clayton as chairman of the Securities and Exchange Commission. Aaron Nicodemus explores what it means for ESG, cryptocurrency, and more.