SEC Top Enforcer Says Tougher Penalties Are Working

[ad_1] One thing the Securities and Exchange Commission’s top cop promised when he took the job was increased enforcement and a crackdown on repeat offenders. More than two years later,…

SEC’s WhatsApp Fines Spread Further Across Wall Street

[ad_1] Ten more financial firms agree to $99 million in penalties to resolve investigations over employees’ use of banned messaging apps. [ad_2] Source link