The SEC charged the head of business development at a biopharmaceutical company with insider trading for using confidential information to trade in securities ahead of the company's announcement of an acquisition.
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22388 News Results
A broker-dealer settled FINRA charges for supervisory failures in connection with its EB-5 Immigrant Investor Program business operations.
A London-based educational services public company settled SEC charges for misleading investors about a major data privacy and confidentiality breach in 2018.
The SEC and the European Central Bank entered into a Memorandum of Understanding, setting forth the terms for consultation, cooperation and the exchange of information between the regulators in the oversight of certain security-based swap dealers.
New York State Department of Financial Services Superintendent Linda A. Lacewell announced that she will step down from her position effective August 24, 2021.