Academics provided the first large-scale study that documents the economy-wide extent of misconduct among financial advisers and financial advisory firms.
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SEC Acting Enforcement Director Marc P. Berger will depart the agency by the end of January 2021.
Independent research and consultant firm principal Chris Clearfield published a blog post in which he explored the implications of "a recent, and costly, proxy voting mistake" by an investment firm. He offered recommendations to firms that could help them avoid making a "spectrum of possible errors."
A broker-dealer settled FINRA charges for failing to disclose unsatisfied tax liens and judgments on a number of its registered representatives.
IOSCO elected CFTC Chair Heath P. Tarbert to serve as Board Vice Chair for the 2020-2022 term.