SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
The Securities and Exchange Commission today proposed amendments to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, investment companies, registered investment advisers, and…

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SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,…

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SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud
The Securities and Exchange Commission today charged American Patriot Brands Inc. (APB), a cannabis cultivation and distribution company, its CEO, and five other entities and individuals for their participation in a long-running scheme in which they…

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SEC Proposes to Expand and Update Regulation SCI
The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and…

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Financial Contagion Weighs On Sentiment
Asian equity markets were down as Silicon Valley Bank’s collapse and Credit Suisse’s troubles weighed on investor sentiment overnight except for India and the Philippines, which posted a small gain.
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SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies,…

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SVB Financial Contagion Fears Go Global
Asian equities curbed yesterday’s enthusiasm driven by China’s positive policies following the National People’s Congress as SVB’s collapse crushed Asian investor sentiment on financial contagion fears.
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Lessons From Buffett And Lynch On Investing Amid Crises: Opportunities For The Patient Investor
Silicon Valley Bank’s collapse highlights the dangers of being overly exposed to high-risk, overextended sectors. Investors can learn from Buffett and Lynch in such events, with research and patience being key. Here’s a list of the 10 top-rated banking stocks for long-term, disciplined investors.
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SEC Charges Former CEO of Slync in $67 Million Offering Fraud
The Securities and Exchange Commission today charged Christopher S. Kirchner, the co-founder and former CEO of Slync, Inc., a privately-held Texas-based software company, with fraudulently offering and selling more than $67 million of securities to…

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Life Lessons And 17 Stock Ideas From Billionaire Value Investor Mario Gabelli
The Bronx-born mutual fund maven explains the value of education and hard work, along with a trove of his best ideas for the current market.
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