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Jury Finds Ex-Bank CEO Defrauded Investors

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MIAMI (AP) — A jury has found that the former chief executive officer of BankAtlantic Bancorp intentionally defrauded investors about the bank’s financial health as its real estate loans soured in 2007. 163 more words

News

Morgan Stanley paying $4 million to SEC over unauthorized purchase of $525 million in Apple stock

”Morgan Stanley has agreed to pay $4 million to settle federal charges of failing to prevent the unauthorized purchase of $525 million in Apple stock by one of its customers,” Marcy Gordon reports for The Associated Press. 193 more words

News

D.C. Circuit Court of Appeals to Rehear Conflict Minerals Case

Yesterday, Tuesday, November 18, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit agreed to rehear a case challenging the U.S. Securities and Exchange Commission’s (SEC) conflict minerals rule. 162 more words

Regulations

Active managers face setback as SEC rejects non-transparent ETFs

The U.S. Securities and Exchange Commission rejected plans by BlackRock Inc. and Precidian Investments to open a new type of exchange-traded fund that wouldn’t disclose holdings daily, setting back efforts to bring more actively managed ETFs to market. 747 more words

ETFs

Active managers face setback as SEC rejects non-transparent ETFs

The U.S. Securities and Exchange Commission rejected plans by BlackRock Inc. and Precidian Investments to open a new type of exchange-traded fund that wouldn’t disclose holdings daily, setting back efforts to bring more actively managed ETFs to market. 747 more words

ETFs