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PARTNERS OF HONEST BUSINESS AND PROSECUTORS OF DISHONESTY.

Subjects: GENSLER, Gary S., 1957-; GOVERNMENT executives; SECURITIES fraud

• Source: Vital Speeches of the Day. Dec2023, Vol. 89 Issue 12, p288-290. 3p.

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The SEC Fires All Guns Against a Crypto Platform - Plan Fiduciaries Should Take Note.

• Authors : Wagner, Marcia S.¹

Subjects: *CRYPTOCURRENCIES; NOTETAKING; FIREARMSUNITED States. Securities & Exchange Commission

• Source: 401K Advisor. Mar2024, Vol. 31 Issue 3, p3-5. 3p.

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SEC CHARGES RISHI KAPOOR WITH DEFRAUDING INVESTORS.

• Authors : Alvarado, Francisco

Subjects: *REAL estate investmentUNITED States. Securities & Exchange CommissionKAPOOR, Rishi

• Source: Real Deal: New York Real Estate. Feb2024, Vol. 22 Issue 2, p66-67. 2p.

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What ‘finfluencers’ can teach the industry.

• Authors : Salinger, Tobias (AUTHOR)

Subjects: *EXCHANGE traded funds; *FINANCIAL planners; *INVESTORSCFA Institute ; UNITED States. Securities & Exchange Commission

• Source: Financial Planning. Apr2024, Vol. 54 Issue 2, p35-36. 2p. 1 Color Photograph.

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DOL retirement proposal faces pre-election hurdles.

• Authors : Salinger, Tobias (AUTHOR)

Subjects: *INDIVIDUAL retirement accounts; *401(K) plans; *RETIREMENTUNITED States. Securities & Exchange Commission

• Source: Financial Planning. Apr2024, Vol. 54 Issue 2, p12-13. 2p.

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'Resistance is futile': Why Nigeria rolled back crypto restrictions.

• Authors : Clynch, Harry

Subjects: *CRYPTOCURRENCIES; *MONEY laundering; *BANKING industryNIGERIAUNITED States. Securities & Exchange Commission ; CENTRAL Bank of Nigeria

• Source: African Business. Feb2024, Issue 510, p30-31. 2p.

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Husband Snooping on Wife's M&A Work Gets Insider Trading Charge.

• Authors : Weinstein, Austin; Constantz, Jo

Subjects: *INSIDER trading in securities; *MERGERS & acquisitions; *HOME officesUNITED States. Securities & Exchange Commission

• Source: Bloomberg.com. 2/22/2024, p1-2. 2p.

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How Do You Profit From Bitcoin ETFs? Investors Face Dilemma.

• Authors : Kharif, Olga

Subjects: *INVESTORS; *EXCHANGE traded funds; *CRYPTOCURRENCIESUNITED States. Securities & Exchange Commission

• Source: Bloomberg.com. 2/22/2024, p1-2. 2p.

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For Gensler, Financial Risks Lie Where Banks and Non-Banks Meet.

• Authors : Beyoud, Lydia

Subjects: *FINANCIAL risk; *INVESTMENT banking; *NONBANK financial institutionsUNITED States. Securities & Exchange Commission

• Source: Bloomberg.com. 2/17/2024, p1-3. 3p.

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ETF Firm Hid Role of Barstool's Dave Portnoy in Launch, SEC Says.

• Authors : Weinstein, Austin

Subjects: *EXCHANGE traded funds; *INFLUENCER marketing; *SALE of business enterprisesUNITED States. Securities & Exchange Commission

• Source: Bloomberg.com. 2/16/2024, p1-2. 2p.

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