SEC’s Jackson criticizes stock exchanges, promises reforms
The time has come to reform America’s stock markets. That was the message from SEC Commissioner Robert Jackson during a speech this week at George Mason University, where he laid out potential changes.
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Brokers, banks launch new equities exchange
A group of nine leading retail broker-dealers, banks, and financial services firms have agreed to launch a new equities exchange, MEMX, or Members Exchange.
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News BriefDOJ, SEC charge owner of Pennsylvania companies of running $770M Ponzi scheme
The majority owner of a Pennsylvania investment firm faces 100 years of prison time and huge fines for allegedly running a $770 million Ponzi scheme centered on an ATM company he also owned.
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Basic PageSEC taps military judge as Enforcement Division Director
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.