In the Margins
The Securities and Exchange Commission received nearly 4,000 whistleblower tips in fiscal year 2015, 8% more than in FY'14 and 20% more than FY'13, according to the agency's annual report to Congress. The tips came in from every state and 61 foreign countries, and the SEC awarded more than $37 million. Read the full report from the SEC.
Most Read
Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential ...
The Securities and Exchange Commission seems poised to grant exemptive relief to one of the earliest applicants seeking to offer an exchange-traded fund share class, just ...
The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
Securities brokerage firms are a critical part of the financial landscape, as they provide a vast array of products and services to the financial services industry, ...