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Tag: Securities and Exchange Commission (SEC)

Gurbir Grewal, director of division of enforcement, SEC

SEC enforcement director Gurbir Grewal steps down

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Gurbir Grewal, director of division of enforcement, SEC

SEC orders 11 firms to pay $88m over widespread recordkeeping failures

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Gary Gensler, chairman, SEC

Exchanges weigh impact of lower fee caps, transparency

Lucy Carter - 0
Raymond Chun, incoming CEO, TD Bank

TD’s Masrani steps down amid regulatory turmoil; Chun named successor

Lucy Carter - 0
Gurbir Grewal, director of division of enforcement, SEC

Firms hit with CFTC, SEC recordkeeping and communication failure fines 

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Gary Gensler, chairman, SEC

SEC proposes joint data standards

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Row erupts as CBOE seeks to define exchange boundaries

Dan Barnes - 0
Eric Werner, SEC

Regulatory Round-up June

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The new GameStop surge: Is this time different?

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Gary Gensler, chairman, SEC

Regulatory Round-Up

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