MyComplianceOffice Blog

U.S. District Judge Jed Rakoff rules that Euro Pacific Capital Inc traders, Daryl Payton and Benjamin Durant, who escaped criminal insider trading charges must still face civil charges by U.S. securities regulators.

The SEC staff is reviewing its accredited investor definition said Mary Jo White, SEC Chairwoman today at the quarterly Investor Advisory Committee meeting.

Senator Warren questions US SEC chair on broker reforms

reuters.com

The 2nd US court circuit of appeals ruled on Weds, March 11 that tipsters who supplied information to the SEC prior to the Dodd-Frank Act in July 2010 are not eligible for reward.

WASHINGTON (Reuters) - "Republican lawmakers took aim at the Dodd-Frank Wall Street reform law Tuesday, unveiling a plan that would gut regulators' authority to manage the collapse of big banks and give Congress direct control of the U.S. consumer finance bureau's budget.