Business & Markets
Federal Reserve Board announces approval of application by BancFirst Corporation
Federal Reserve Board announces approval of application by BancFirst Corporation
Business & Markets
Federal Reserve Board issues enforcement actions with former employee of Northstar Bank, former employee of American Express Travel Related Services Company, Inc., and former employee of Regions Bank
Federal Reserve Board issues enforcement actions with former employee of Northstar Bank, former employee of American Express Travel Related Services…
Business & Markets
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II,…
Business & Markets
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment…
Business & Markets
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H.…
Business & Markets
SEC’s Division of Examinations Announces New Exam Handbook
The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on…
Business & Markets
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of…
Business & Markets
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as…
Business & Markets
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating…
Business & Markets
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and…