‘Enforcement 40’ for 2020
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By Securities Docket on December 12, 2014, 9:53 am
Add the New York Department of Financial Services to the growing list list of regulators who will be scrutinizing the cybersecurity practices of Wall Street banks and financial institutions. New York will become the first state to conduct its own cybersecurity examinations on banks. via New York Becomes First State to Launch Cybersecurity Exams for […]
By Securities Docket on December 12, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for December 11, 2014.
By Securities Docket on December 12, 2014, 8:51 am
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys”R”Us. via FINRA Fines 10 Firms a Total of […]
By Securities Docket on December 12, 2014, 7:52 am
Securities and Exchange Commission chief Mary Jo White is none too pleased about Wednesday’s landmark federal appeals court ruling that overturned two insider trading convictions. “My initial sense is that it is an overly narrow view of the insider trading law, and that is a concern,” she said at a conference in New York on […]
By Securities Docket on December 12, 2014, 7:50 am
The government’s theory is that trading in stock or other financial assets is a crime if somebody trades while in possession of any sort of informational advantage over other traders. But, as the Court of Appeals points out in its decision, “although the Government might like the law to be different, nothing in the law […]