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Blog: Early SEC Enforcement Trends from Chairman Gary Gensler s First 100 Days | Cooley LLP

Blog: Early SEC Enforcement Trends from Chairman Gary Gensler s First 100 Days | Cooley LLP
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Robinhood says U S watchdogs probing staff meme stock trading, registration

Robinhood says U S watchdogs probing staff meme stock trading, registration
reuters.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from reuters.com Daily Mail and Mail on Sunday newspapers.

Robinhood says U S watchdogs probing staff meme stock trading, registration

Robinhood says U.S. watchdogs probing staff meme stock trading, registration FILE PHOTO: Robinhood logo is seen on a smartphone in front of a displayed stock graph in this illustration taken, July 2, 2021. REUTERS/Dado Ruvic/Illustration/File Photo July 27, 2021 By Chris Prentice and Noor Zainab Hussain WASHINGTON (Reuters) – Robinhood Markets Inc disclosed on Tuesday it has received inquiries from U.S. watchdogs asking whether employees traded GameStop Corp. and AMC Entertainment Holdings, Inc. before the online broker publicly announced it was restricting trading in those and other meme stocks on Jan. 28. The company is also being probed over whether it complied with personnel registration rules, it said.

The SEC s Division Of Examinations Highlights Increased Concerns With Wrap Fee Programs - Corporate/Commercial Law

The SEC s Division Of Examinations Highlights Increased Concerns With Wrap Fee Programs - Corporate/Commercial Law
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