U.S. SEC unveils rules to better oversee security-based swap execution
REUTERS
A U.S. markets regulator on Wednesday will propose new rules that would require platforms that execute trades of security-based swaps to register with the agency in a bid to increase the transparency of the over-the-counter derivatives market. read more »
Blog
SEC: Takeover Bid of Fortune 500 Company was a Sham
SEC
The Securities and Exchange Commission today charged Melville ten Cate, a U.S. citizen residing abroad, with fraud stemming from his allegedly phony offer to purchase Textron – a large U.S.-listed aircraft, defense, and industrial company. read more »
Former Coal Company Vice President Arrested and Charged with Foreign Bribery, Money Laundering, and Wire Fraud
DOJ
U.S. SEC set to unveil tighter rules on blank-check companies
REUTERS
The U.S. securities regulator on Wednesday will unveil a proposal to tighten its rules on special purpose acquisition companies (SPACs) after a frenzy of deals in 2020 and early 2021 sparked concerns some investors are getting a raw deal. read more »
U.S. SEC issues new guidance for brokers, advisors on investment recommendations
REUTERS
SEC Charges Seven California Residents in Insider Trading Ring
SEC
Wall Street regulator proposes to expand the definition of broker-dealers
REUTERS
The U.S. Securities and Exchange Commission (SEC) on Monday proposed expanding the definition of broker-dealers and mandating that Principal Trading Firms (PTFs) must register with the agency. read more »
Oligarch linked to billions in 27 Swiss bank accounts in sister’s name
THE GUARDIAN
Attorney General Bonta Files Complaint Against L.A. County-Based Healthcare Provider Network
CA AG
CFTC Awards Approximately $10 Million to a Whistleblower
CFTC
SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
SEC
SEC Charges Texas School District and its Former CFO with Fraud in $20 Million Bond Sale
SEC
SEC plans to force public companies to disclose greenhouse gas emissions
WASHINGTON POST
Freight Carriers Agree to Pay $6.85 Million to Resolve Allegations of Knowingly Presenting False Claims to the Department of Defense
DOJ
SEC Awards Approximately $14 Million to Whistleblower
SEC
SEC Awards More Than $3.5 Million to Whistleblower
SEC
Calif. employers perverting arbitration law, private AG plaintiffs tell SCOTUS
REUTERS
City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest
SEC
SEC’s Gensler: Make ESG stock fund labels as clear as fat-free versus whole milk
MARKETWATCH
That’s Securities and Exchange Commission Chair Gary Gensler taking to Twitter on Tuesday to make a case for better labeling, essentially tougher regulation, on the fast-growing market segment that bills itself as a way to do good and earn a profit. read more »
SEC Obtains Final Judgment Against Former Pharmaceutical Company CEO Ordering a Permanent Officer and Director Bar and $1.3 Million in Penalties
SEC
