By Joe Mont2018-06-20T16:00:00
The SEC has published a new plan that details its strategic priorities through Fiscal Year 2022.On the list: improved technology and data analysis and a focus on retail investors.
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.
2018-06-29T12:30:00Z By Joe Mont
In an effort to improve its whistleblower program and adapt it to recent Supreme Court demands, the SEC has proposed a slate of amendments to the rules that govern the initiative.
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