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SEC Chair Describes Sweeping Initiatives To Reform Market Structure And Increase Transparency

In a speech delivered on June 5, 2014 at the Sandler O’Neill Global Exchange and Brokerage Conference in New York, U.S. Securities and Exchange Commission (SEC) Chair Mary Jo White unveiled a package of SEC initiatives aimed...more

6/10/2014 - Compliance Enforcement Financial Regulatory Reform Mary Jo White SEC Transparency

SEC Issues $14 Million Whistleblower Award

Just last week the SEC issued its largest whistleblower payment to date, awarding an unidentified whistleblower more than $14 million for providing information to the SEC that led to an enforcement action and the recovery of...more

10/10/2013 - Dodd-Frank SEC Whistleblower Awards Whistleblowers

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