Daily Archives: May 24, 2016, 8:55 am

U.S. securities regulator takes aim at exchange-traded funds | Reuters

The top U.S. securities regulator is taking aim at exchange-traded funds, with the agency’s chair on Friday saying that recent events have called for giving the popular funds “enhanced attention.” The statements by Mary Jo White, chair of the Securities and Exchange Commission, were the frankest warning yet that the agency could tighten regulation of the funds. via U.S. securities…

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It’s Not Over Until the Last Whistle Blows: Beware of the Mid-Investigation Tip | BakerHostetler

SEC Director of the Division of Enforcement Andrew Ceresney underscored the importance of this award, stating: “Whistleblowers can receive an award not only when their tip initiates an investigation, but also when they provide new information or documentation that advances an existing inquiry.” Although the SEC’s Whistleblower Program has been in effect since 2011, this award is the first publicized…

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