Posts from May 2016.

Last week the SEC announced insider trading charges including pro-golfer Phil Mickelson. Mickelson agreed to pay back more than $1 million he earned from an insider stock tip from William “Billy” Walters, a famous sports gambler. As a result...

Last week FINRA held its annual Broker Dealer conference in Washington DC. It was one of the largest they ever had: 1300 attendees and completely sold out. What this usually means is that the BD community is scared and...

On May 6th, SEC Commissioner Kara M. Stein gave a speech in Denver, Colorado entitled Disclosure in the Digital Age: Time for a New Revolution at the 48th Annual Rocky Mountain Securities Conference. The speech discussed the importance of...

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