In the Margins
A bipartisan bill introduced Thursday in the Senate would allow the Securities and Exchange Commission to impose a maximum $1 million penalty on individuals per violation for the most serious offenses and a maximum $10 million per violation on financial firms. Those levels would be an increase from the current $181,071 for individuals and $905,353 for firms. Read the original story from InvestmentNews.
Most Read
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, ...
The percentage of female independent directors serving on mutual fund boards has increased impressively in recent years, jumping from about 20% 10 years ago to nearly 40% ...
As mutual fund boards prepare for their next quarterly meetings over the coming weeks, they likely are gathering talking points on several of President Trump's initiatives ...
The Lord Abbett Funds board has done a lot of heavy lifting in the past few years, hiring new members, overhauling governance practices, and installing new ...