A SEC investigation found that Helmut Anscheringer purchased stock and call options in AuthenTec Inc. upon learning from a longtime friend related to an AuthenTec executive that Apple proposed to buy the company, which provided fingerprint sensors and sof
A key provision of the CRA, the “service test,” gauges how much banks are serving their communities.
This core offering differentiates the firm’s London-based regulatory and advisory capabilities for its investment banking clients, giving it deep insight into underwriters, both in terms of executing transactions and advising on US, UK and European
FINRA, which is funded by the securities industry, is taking especially seriously comments related to operational issues
“As the agreements reached today confirm, Swiss banks that helped U.S. taxpayers to hide foreign accounts and evade their U.S. tax obligations are providing a detailed account of their cross-border banking activities.