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...Trial Victory in Its First ‘Shadow Trading’ Insider Trading Enforcement Action – Securities and ...
JD Supra· 1 day agoA jury found a former executive liable for insider trading in a first-of-its-kind U.S. Securities and Exchange Commission< ...
Principal Securities Inc. Invests $267,000 in The Estée Lauder Companies Inc. (NYSE:EL)
ETF DAILY NEWS· 19 hours ago(NYSE:EL – Free Report) during the 4th quarter, according to its most recent Form 13F filing with...
Stuart Levi on Securities and Exchange Commission (SEC) | JD Supra
JD Supra· 1 day agoJD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This ...
NBC Securities Inc. Acquires New Shares in SPDR Bloomberg Barclays 1-3 Month T-Bill ETF...
ETF DAILY NEWS· 18 hours agoNBC Securities Inc. acquired a new stake in SPDR Bloomberg Barclays 1-3 Month T-Bill ETF (NYSEARCA:BIL – Free Report) during the fourth quarter, according to its most recent ...
Vista Outdoor Inc. (NYSE:VSTO) Shares Sold by Amalgamated Bank
ETF DAILY NEWS· 20 hours ago(NYSE:VSTO – Free Report) by 2.5% in the fourth quarter, according to its most recent disclosure...
No ‘cop on the beat': Why the SEC may deny new ether ETFs this month
NBC Los Angeles· 15 hours agoThe U.S. Securities and Exchange Commission is expected to make a key decision on approving ether ...
Massachusetts Financial Services Co. MA Acquires 15,626 Shares of Cushman & Wakefield plc (NYSE:CWK)
ETF DAILY NEWS· 17 hours agoThe institutional investor owned 2,782,908 shares of the company’s stock after buying an additional 15,626 shares during the period. Massachusetts Financial Services Co. MA ...
868 Shares in Aon plc (NYSE:AON) Purchased by Principal Securities Inc.
ETF DAILY NEWS· 18 hours agoThe firm acquired 868 shares of the financial services provider’s stock, valued at approximately...
JD Supra: SCOTUS Unanimously Resolves Securities Fraud Circuit Split
JD Supra· 9 hours agoS. Supreme Court unanimously held that, in the absence of an otherwise misleading statement, a failure to disclose information required by Item 303 of Regulation ...
SEC amends requirements for brokers, advisers protecting customer data
Pensions & Investments· 1 day agoThe Securities and Exchange Commission is bolstering the requirements for broker-dealers, registered investment advisers, mutual funds ...