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Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Plus Chairman Atkins warns of increased scrutiny of Chinese firms in U.S. markets.

Bruce Carton
Bruce Carton
Secret Reasons

Secret Reasons

This newsletter is off today, back tomorrow.

Bruce Carton
Bruce Carton
Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Plus a huge drop-off in the SEC's financial reporting-related enforcement actions.

Bruce Carton
Bruce Carton
Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Plus Pres. Trump commutes the seven-year sentence of a former private equity CEO after 12 days in prison.

Bruce Carton
Bruce Carton
Tether CEO to Skeptics: "We Wear Your Loathing With Pride"

Tether CEO to Skeptics: "We Wear Your Loathing With Pride"

Plus two polls!

Bruce Carton
Bruce Carton
Supreme Court Urged to Limit SEC's Disgorgement Power

Supreme Court Urged to Limit SEC's Disgorgement Power

Plus S&P downgrades Tether's reserves to its lowest measure.

Bruce Carton
Bruce Carton
Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Plus 89% of you do not believe in the "you weren't supposed to be working during the shutdown" defense.

Bruce Carton
Bruce Carton
Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Plus why the sun is shining on private fund lawyers right now.

Bruce Carton
Bruce Carton
Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Plus should we legalize insider trading?

Bruce Carton
Bruce Carton
SEC Dismisses SolarWinds Case with Prejudice

SEC Dismisses SolarWinds Case with Prejudice

Plus Bitcoin continues to crash.

Bruce Carton
Bruce Carton
Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Plus a House bill to ban Congress from owning and trading stocks is "gaining momentum."

Bruce Carton
Bruce Carton
Merge the SEC and CFTC into a New "Financial Markets Agency?"

Merge the SEC and CFTC into a New "Financial Markets Agency?"

Plus early-bird registration now open for Securities Enforcement Forum New York!

Bruce Carton
Bruce Carton
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