News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-05-24T14:15:00
The SEC has proposed new rules that offer safe harbor protections for research broker-dealers who provide research reports on mutual funds, ETFs, registered closed-end funds, and business development companies.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
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President-elect Donald Trump appeared to strengthen his ties to the crypto industry when he nominated a popular crypto advocate, Patomak Global Partners founder Paul Atkins, to be the next chairman of the Securities and Exchange Commission.
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Kiromic BioPharma will pay no fine to the Securities and Exchange Commission after self-reporting that it failed to disclose material information about two cancer drugs to investors.
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Eight business executives, including the billionaire owner of Indian energy company Adani Group, were charged with fraud for their alleged roles in a multi-million bribery scheme to win a solar energy contract in India.
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