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Reference to SEC bad actor disqualification waiver overshadows $67.5M settlement of CFTC spoofing charge
Tower Research Capital LLC will pay the largest total monetary relief ever imposed by federal regulators in a spoofing case, but two CFTC commissioners strongly criticized the CFTC’s advice...
IBM ESOP fiduciary’s handling of business unit’s woes at issue under Fifth Third opinion
Differences between ERISA and the federal securities laws dominated a Supreme Court oral argument that often drifted from the specific question presented about inevitable disclosures and an ESOP...
Divided Commission votes to propose changes to rules governing proxy advisory firms, shareholder proposals
The commissioners voting in favor of the proposals heralded them as long overdue changes in a market that has evolved substantially since the last rule amendments, while the dissenters maintained...
Jackie Robinson fraudsters also chilled whistleblowing, SEC alleges
An amended SEC complaint charges the perpetrators of an offering fraud involving Jackie Robinson memorabilia with unlawfully prohibiting investors from reporting the wrongdoing.
Investment adviser ISS sues SEC over proxy advisor guidance
Institutional Shareholder Services Inc. has filed suit against the Commission seeking relief in response to its proxy guidance, calling it "unlawful."