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SEC dings Becton Dickinson $175m for misrepresenting product risks
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.
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SEC modernizes submission of some forms and filings
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
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Nasdaq board diversity rules vacated
In a narrowly-obtained decision, the Fifth Circuit determined that approving the rule exceeded the SEC’s power.
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SEC panel explores pros, cons of RIA ability to require arbitration
Contractual provisions to arbitrate disputes can be less-than-transparent and restrictive -- but also sometimes cheaper and less burdensome than litigation.
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Morgan Stanley Smith Barney fined $1.5m for inadequate supervision
Firm found to have no policy or procedure in place that could have detected misappropriation of $10m.
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NSCP's Lisa Crossley sets out her vision for a Compliance Advisory Committee
GRIP's Julie DiMauro spoke to Lisa Crossley about her vision for a compliance advisory committee and the much-needed clarity it could bring compliance professionals.
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FSOC releases 2024 annual report, Gensler offers his wish for the future
Cybersecurity incidents and risk from third-party providers and digital assets identified as key concerns.
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Crypto wrap: UK uncovers laundering scheme, crypto advocate to lead SEC, and more
Latest developments in the world of crypto.