Sarah N. Lynch

Wall Street regulator to consider mandating broker background checks

August 25, 2021 at 4:03 a.m.

WASHINGTON (Reuters) - Wall Street's self-funded regulator said on Wednesday it will consider proposing mandatory background checks for brokers after critics pointed to gaps in disclosures by some with checkered...

U.S. SEC releases cyber security examination blueprint

August 25, 2021 at 4:03 a.m.

WASHINGTON (Reuters) - U.S. securities regulators have unveiled a road map that lays out how they plan to make sure Wall Street firms are prepared to detect and prevent cyber...

U.S. appeals court: Conflict minerals rule violates free speech

August 25, 2021 at 3:59 a.m.

WASHINGTON (Reuters) - A U.S. appeals court on Monday struck down parts of a regulation that forces public companies to disclose if their products contain "conflict minerals" from a war-torn...

SEC’s Stein backs states’ push to police smaller stock deals

August 25, 2021 at 3:48 a.m.

WASHINGTON (Reuters) - U.S. securities regulators should not be so quick to scale back the power of the states to police certain smaller public stock deals, a top U.S. Securities...

SEC charges trading firm owner, others in ‘spoofing’ case

August 25, 2021 at 3:42 a.m.

WASHINGTON (Reuters) - U.S. securities regulators filed charges against two trading firms and five individuals on Friday in a case involving an illegal manipulative trading practice known as "spoofing." In...

Experts urge U.S. watchdog to adopt major changes to audit reports

August 25, 2021 at 3:39 a.m.

WASHINGTON (Reuters) - Some accounting experts are urging U.S. regulators to embrace a proposal to improve how auditors communicate their opinions on corporate financial statements to investors, saying such changes...

Maryland man to plead guilty in insider-trading case: Justice Department

August 25, 2021 at 3:41 a.m.

WASHINGTON (Reuters) - A Maryland man will plead guilty to charges of conspiring to commit insider trading, in what marks the 10th criminal prosecution stemming from an insider-trading ring orchestrated...

Republican’s bill seeks to shine more light on U.S. risk council

August 25, 2021 at 3:39 a.m.

WASHINGTON (Reuters) - A Republican member of Congress said on Thursday he was denied access to a closed-door meeting of a new U.S. regulatory body that polices market risks, and...

Republican’s bill seeks to shine more light on U.S. risk council

May 23, 2019 at 9:33 p.m.

WASHINGTON (Reuters) - A Republican member of Congress said on Thursday he was denied access to a closed-door meeting of a new U.S. regulatory body that polices market risks, and...

Wall Street groups pan SEC’s asset-backed securities draft plan

August 25, 2021 at 3:32 a.m.

WASHINGTON (Reuters) - Two major Wall Street trade groups have criticized a plan floated last month by U.S. regulators to force issuers to disclose more sensitive loan-level data to investors,...

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