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Securities Regulation Daily

Same-Day Coverage of Breaking News

Breaking news on securities regulations.

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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

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Sample Articles
News
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...

August 16, 2017
News
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 ...

August 15, 2017
News
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 ...

August 14, 2017
News
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...

August 11, 2017
News
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. ...

August 10, 2017

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