SEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis
The Securities and Exchange Commission today charged global investment bank and brokerage...
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Regulation & Legislation
Oklahoma endowment sets $5 million for energy fund
George Washington University looking to outsource endowment investments
Pressure building on Pew to cut ties with foundation
U.S. investors warned on bitcoin as federal, state regulators move toward oversight
U.S. SEC to review plan to require brokers to disclose bonuses
Top Citigroup executives take lead on Banamex probe
CBOE Regulatory Circular RG14-005
MSRB Request for Comment on Draft Rule G-42, on Duties of Non-Solicitor Municipal Advisors
FINRA Regulatory Notice 13-43
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