‘Enforcement 40’ for 2020
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By Securities Docket on May 24, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for May 23, 2016.
By Securities Docket on May 24, 2016, 8:00 am
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 […]
By Securities Docket on May 24, 2016, 7:57 am
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 […]