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Join the Securities Litigation and Enforcement Group on LinkedInU.S. Agencies Seek Tougher Rules, Internal Probes on Stock Trading by Federal Officials – WSJ
Separately, the SEC last week proposed new ethics restrictions, including banning employees from investing in financial industry sector funds. The SEC already bars employees from owning or trading stocks that are under investigation by the agency, regardless of whether the employee is working on the matter. The SEC’s ethics rules are stricter than those at […]
Crypto Trading Volume Tumbled in June to the Lowest Since 2020 – Bloomberg
Cryptocurrency trading volumes have plummeted amid a dreadful first half of the year for the industry. Spot and derivatives volumes have declined across exchanges, falling more than 15% since May to around $4.2 trillion and reaching the lowest since January of last year. The month of June alone saw spot volumes drop nearly 28% to […]
Stock Trades of SEC Employees — HLS Forum on Corp. Gov.
These results are indicative of SEC employees being either: (i) skilled investors, (ii) lucky investors, or (iii) privately informed. We cannot confirm that our results are driven by trades on non-public information. While we do observe some unusual trading patterns around certain SEC activity (e.g., trading prior to enforcement actions and after whistleblower tips), several […]
Catherine McGuire to Retire After More Than 40 Years at the SEC
The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring after 44 years at the SEC. via Catherine McGuire to Retire After More Than 40 Years at the SEC
Securities Suit Filed Against JP Morgan Chase Over Massive Trading Losses
Shareholders file suit in wake of JP Morgan’s $2 billion trading loss.