- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
After months of parsing through comment letters and collecting financial industry feedback, the SEC is ready to inject itself in the controversial effort to create a fiduciary duty regulation for broker-dealers and investment advisers. The Commission has scheduled an open meeting on Wednesday, April 18, to debate a potential rule ...
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Elad Roisman, a Republican nominated as an SEC commissioner, made his pitch Tuesday for the job during a nomination hearing before the Senate Banking Committee.
RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
The Consumer Financial Protection Bureau is warning companies against intimidating potential whistleblowers by forcing them to sign broad nondisclosure agreements to deter misconduct from coming to light.
