Securities Regulation Daily
Breaking news on securities regulations.
Breaking news and expert analysis on Securities Regulation.
What good is the right knowledge if it’s at the wrong time?
Breaking news and expert analysis
- View full summaries of federal and state court decisions
- Access full text of legislative and regulatory developments
- Customize your daily email by topic and/or jurisdiction
- Search archives for stories of interest
A complete daily report of the news that affects your world
- Get expert analysis written by subject matter specialists—created by attorneys for attorneys
- Track law firms and organizations in the headlines with our new “Who’s in the News” feature
- Promote your firm with our reprint policy
24/7 access for a 24/7 world
- Forward information with special copyright permissions, encouraging collaboration between counsel and colleagues
- Save time with mobile apps for your iPhone, iPad, or Android
- Access all links from any mobile device without being prompted for user name and password
Advisers’ outside consultant, internal officer settle SEC reporting and recordkeeping charges
An outside compliance consultant and the COO of two advisers have agreed to settle SEC charges that they caused the advisory firms to make misstatements regarding assets under management and account t...
KPMG settles with SEC over oil-and-gas audit failures
KPMG agreed to pay $6.2 million for failing to audit the financial statements of Miller Energy Resources. In fiscal 2010, Miller acquired oil and gas interests for approximately $4.5 million and then ...
Giancarlo highlights priorities and goals in first on-the-record interview as CFTC chairman
CFTC Chairman J. Christopher Giancarlo addressed a wide variety of topics, ranging from the Trump regulatory reform agenda to the agency’s budget to cryptocurrencies, in his first on-the record ...
Contrite ex-trader defeats CFTC’s lifetime ban and ‘excessive’ penalties
A judge sitting in the U.S. District Court for the Southern District of New York rejected the CFTC’s bid to impose lifetime registration and trading bans against Fan Wang, an ex-trader who, in a...
SEC stays approval of Chicago Stock Exchange acquisition by Chinese investors, pending review
The Commission will review the action taken by the Division of Trading and Markets in which it approved, by delegated authority, a proposed rule change to permit the acquisition of CHX Holdings, Inc. ...