CFTC awards $200 million to whistleblower

Archive: Securities

CFTC awards $200 million to whistleblower
October 28, 2021
CFTC announces a $500,000 fine for swap dealer
October 20, 2021
SEC issues whistleblower awards totaling $40 million
October 20, 2021

SEC reopens comment period on listing standards for recovery of erroneously awarded compensation
October 19, 2021
SEC announces final rule for filing fee disclosure and payment methods modernization
October 15, 2021
SEC enforcement director says admissions increase accountability
October 15, 2021
SEC chair discusses digital analytics in finance
October 14, 2021
SEC Division of Enforcement says firms should take proactive compliance measures
October 12, 2021
SEC charges hemp company with misrepresentations
October 7, 2021

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