SEC May Create One-Stop Database for Investors
The SEC may consider the creation of a new public database that compiles the scattered array of information on financial professionals and securities laws violations. A proposal from its Investor Advisory Committee would link to existing databases run by regulators and self-regulatory organizations. More inside.
THIS IS MEMBERS-ONLY CONTENT
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.
Related articles
-
ArticleFINRA executive explains regulator's use of AI at Compliance Week event
The Financial Industry Regulatory Authority (FINRA) has welcomed artificial intelligence (AI) with open arms—and also caution.
-
ArticleFormer ADM execs inflated operating profits, SEC alleges
Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
-
ArticleSEC closes FCPA probe into Calavo Growers
The Securities and Exchange Commission has closed its Foreign Corrupt Practices Act investigation into Calavo Growers, three months after the Department of Justice closed its FCPA investigation into the produce and agriculture company.