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Join the Securities Litigation and Enforcement Group on LinkedInU.S. Chamber: 28 Recommendations on SEC Enforcement Practices | Compliance Week
Today the U.S. Chamber of Commerce released an interesting, 64-page paper entitled, “Examining U.S. Securities and Exchange Commission Enforcement: Recommendations on Current Processes and Practices.” The report offers 28 specific recommendations on how to improve the SEC enforcement process. via U.S. Chamber: 28 Recommendations on SEC Enforcement Practices | Compliance Week
Fake Story Sends Twitter Shares Spiking by 8 Percent – NBC News
Twitter shares briefly spiked on Tuesday after a fake report resembling a Bloomberg story suggested the social media company received an acquisition offer. via Fake Story Sends Twitter Shares Spiking by 8 Percent – NBC News
SEC’s White: Compliance officers not a target of the agency — InvestmentNews
“To be clear, it is not our intention to use our enforcement program to target compliance professionals,” Ms. White told about 1,000 broker-dealer compliance officials at SEC headquarters in Washington. “We have tremendous respect for the job you do. You have a very tough job in a complex industry where the stakes are extremely high.” […]
Cybersecurity ‘Not Owned’ by Compliance but Shared: FINRA Exec
Cybersecurity is an “an operational risk issue, not generally owned” by a firm’s chief compliance officer and legal department, Daniel Sibears, FINRA’s EVP of regulatory operations said Tuesday at the joint FINRA and Securities and Exchange Commission Broker-Dealer Compliance Outreach Seminar in Washington. via Cybersecurity ‘Not Owned’ by Compliance but Shared: FINRA Exec. — ThinkAdvisor
Securities Docket News Wire for July 14, 2015
Get caught up with the Securities Docket News Wire for July 14, 2015.