An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.
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An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
Republican members of the U.S. Senate Banking Committee released a discussion draft of proposed legislation "to help accelerate economic growth and spur new business formation."
The SEC issued requests for comment on a proposed "retail best interest" standard for broker-dealers and a proposed fiduciary duty interpretation for investment advisers.
The U.S. Treasury Department published recommendations for improving regulation of the asset management and insurance industries.