New OCIE associate director highlights SEC quant exams

Daniel Gregus has been named the new head of the clearing exam office

Jason Bisnoff 5 hours ago

American Funds CEO to retire, new CCO appointed

Kevin Clifford had led the firm since 2002

James Connington 5 hours ago

Citigroup pays more than $12m to settle dark pool violations

High-frequency traders were allowed in, despite Citi’s assurances, the SEC said

Peter Rawlings 17 September, 2018

Derivatives rule redux to revisit director role

New proposal may be ready by year-end, with more sensitivity to oversight approach

Marissa Capodanno 17 September, 2018

Firms warned on availability of third-party records

Contracts need to make sure regulators can access data, even if third-party payments are missed

Peter Rawlings 17 September, 2018

Frontier Communications hit with 401(k) plan complaint

Defined contribution plan accused of breaching Erisa by concentrating assets in Verizon stock

Noah Zuss 14 September, 2018

Stifel, Nicolaus hit with second fine for trading ahead

Finra penalized the firm for the second time this year

Peter Rawlings 14 September, 2018

Wisconsin Capital Management president replaces outgoing CCO

Thomas Plumb will wear two hats as both president and CCO

Jason Bisnoff 14 September, 2018

Funds’ Carolina offices prepare for ‘storm of a lifetime’

Disaster recovery, operational continuity are top of mind as Southeast anticipates Hurricane Florence

Emily Sakamoto 13 September, 2018

Madison Investments hires CCO from Jackson National

Steven Fredricks takes over from dual-hatted CCO

Jason Bisnoff 13 September, 2018

Peirce doubles down on support of crypto ETFs

Commissioner signals future support for crypto in the markets

Jason Bisnoff 12 September, 2018

NY firm penalized over inadequate compliance staffing

Cadaret Grant had three compliance personnel overseeing 676 reps

Peter Rawlings 12 September, 2018

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