By Bruce Carton2016-06-07T11:15:00
Stephen Cohen, associate director for the SEC’s Enforcement Division, plans to leave the agency later this month after 12 years of service. A senior member of the Commission’s enforcement staff, Cohen joined the SEC in 2004 and has served as associate director since 2011. Bruce Carton has more.
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2026-02-05T23:12:00Z By Adrianne Appel
The Financial Industry Regulatory Authority (FINRA) has welcomed artificial intelligence (AI) with open arms—and also caution.
2026-02-03T22:57:00Z By Adrianne Appel
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.
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Chief compliance officers and general counsel, beware: The Trump administration’s merging of its whole-of-government enforcement approach with its political agenda forewarns of escalating compliance risk on a national scale.
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