In the Margins
Comments from Securities and Exchange Commission judges have raised defendants' worries that they won't get a fair hearing from the agency's internal court system. The SEC recently has leaned more heavily on its in-house tribunal, using powers granted in the 2010 Dodd-Frank financial law to send its judges more insider-trading and other serious contested cases. Read the original story from The Wall Street Journal.
Most Read
When the Securities and Exchange Commission announced earlier this month it was charging a mutual fund adviser, some of its officers, and two independent fund directors ...
Independent mutual fund directors, on average, took home more pay in 2022 than they did the year prior, according to new figures from Management Practice Inc. ...
The Securities and Exchange Commission on Friday said it has charged an investment adviser, its CCO, its fund's president, and two independent fund directors with "aiding ...
William Birdthistle, director of the SEC's Division of Investment Management, delivered keynote remarks at a mutual fund industry conference this morning but failed to address a ...