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Compliance & Regulation
Breaking News
NYSE Fines Firms for Trade-Ahead Audit Trail Violations
May 8, 2008 - NYSE Regulation has fined a handful of Wall Street’s largest firms for not providing data about orders sent to the New York Stock Exchange floor.
Senate Committee Tells SEC to Ramp Up Supervision of Investment Banks
May 7, 2008 - Senate Banking Committee member Charles Schumer says that a “stronger, more unified regulator” is needed to police investment banks.
SEC Official Offers Preview of Rule 12b-1 Overhaul
April 23, 2008 - An official in the agency’s division of investment management has provided a preview of the forthcoming reform package.
Featured Article
Shakeup at Division of Trading and Markets
The Securities and Exchange Commission's division of trading and markets is undergoing a major reorganization that will shift the responsibilities of top officers.
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