- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Commissioner Robert Jackson is voicing his concerns about corporate stock buybacks and says research produced by his staff “raises significant new questions about this activity.” He wants the Commission to reconsider existing rules.
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A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
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.
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.
