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Kenneth I. Starr pleads guilty to three counts; 20 additional counts and SEC charges still loom.
September 13 -
The Securities and Exchange Commission Friday approved the expansion of its post-Flash Crash circuit breaker program to include all stocks in the Russell 1000 Index and a test group of exchange-traded funds.
September 13 -
Though the creation of a consumer protection bureau got much of the attention, the Dodd-Frank Act also created an Office of Financial Research with an ambitious mandate.
September 13 - Money Management Executive
The Securities and Exchange Commission Friday approved the expansion of its post-Flash Crash circuit breaker program to include all stocks in the Russell 1000 Index and a test group of exchange-traded funds.
September 12 - Money Management Executive
Financial adviser to the stars Kenneth I. Starr, Starr & Co. pled guilty before the U.S. District Court for the Southern District of New York Friday to ripping off $50 million from A-listers including Wesley Snipes, Sylvester Stallone, Uma Thurman, Nora Ephron and Al Pacino.
September 12 -
The Financial Industry Regulatory Authority wants broker-dealers to be a lot more specific on the reasons for dismissing an employee in their reports to the regulator.
September 10 -
Douglas Lee Campbell, a former senior vice president and marketer in Bank of Americas municipal derivatives group, pleaded guilty Thursday to three criminal counts for engaging in bid-rigging and fraud conspiracies connected with guaranteed investment contract and other municipal finance agreements.
September 10 -
The Municipal Securities Rulemaking Board has issued draft guidance warning brokers brokers of their obligations under its rules following recent enforcement actions by the Securities Exchange Commission and the Financial Industry Regulatory Authority alleging rule violations.
September 10 -
The Financial Services Authority said Thursday it fined Goldman Sachs $31 million for failing to notify the U.K. regulator that trader Fabrice Tourre was being investigated by the U.S. Securities and Exchange Commission.
September 10 -
SEC Chairman notes there have been net redemptions from equity mutual funds every single week for the past four months.
September 9
