Securities and Exchange Commission (SEC)
Broker-dealers better prepared than investment advisers
Appeals court reins in SEC over insider trading
More Securities and Exchange Commission (SEC) articles
James Coulson joins Swiss bank after 18 years at SocGen
US bank accused of manipulating client valuation reports to mask profits
What impact does the 'revolving door' have on regulatory independence?
$12.5 million fine for cross border activities with US clients
Former SEC deputy enforcement head warns of more prosecutions
Data suggests regulators are 'schools' for private sector
Fund managers need to ensure internal controls are up to the mark
Repeated conduct failures lead to increase in average penalty amount
SEC fines HFT firm $1m for using algorithms to sway Nasdaq closes
Advanced data analytics plays major role in SEC risk assessment
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