Top 5 Regulatory Alerts – October-November 2017

 

Here are our Top 5 Regulatory Alerts for October-November 2017, ranked by significance.  We have also included the Top 5 most read Alerts (other than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – October-November 2017

1. SEC ENFORCEMENT DIVISION TARGETS FINANCIAL EXECUTIVES (11/17/17)
2. PRIVATE COMPANY AND CEO MISLED INVESTORS ABOUT COMPLIANCE FAILURES (11/3/17)
3. CONSULTANT TO PE PORTFOLIO COMPANY CHARGED WITH INSIDER TRADING (11/16/17)
4. OPERATIONS MANAGER CHARGED WITH AIDING/ABETTING SECURITIES FRAUD (10/10/17)
5. LARGE BD FINED $3.5 MILLION FOR CURTAILING SAR FILINGS (11/14/17)

 

Most Read – October-November 2017

1. SEC CHARGES LAWYERS FOR CLIENTS’ SECURITIES FRAUD (10/17/17)
2. SEC DEEMS THIRD PARTY VALUATION AGENT AN “INVESTMENT ADVISER” (10/2/17)
3. SEC TO CREATE WEBSITE OF BAD ACTORS (11/9/17)
4. LARGE BD FINED $3.5 MILLION FOR CURTAILING SAR FILINGS (11/14/17)
5. CHIEF ACCOUNTING OFFICER BARRED AND FINED FOR APPROVING CEO EXPENSES (11/20/17)