The social media banter on Reddit and other forums influencing the trading of certain stocks is something that hedge funds are now weighing in their trading decisions. Not trading meme stocks, adding new guidelines to shorting stocks, or relying on unique investing strategies are all being considered by hedge funds and other institutional players. FrontLine’s…
The SEC has released an updated rulemaking agenda for this year. New Chairman Gary Gensler has been in office a few months now and is beginning to put his stamp on the Commission. As part of that, the rulemaking agenda has been updated to address recent concerns of the SEC. The new list of rules…
SEC Chairman Gary Gensler has indicated that as part of his agenda he would seek to finalize some of the remaining Dodd-Frank Act rule provisions that have languished for several years. In comments featured, Amy Lynch, FrontLine’s Founder and President, explains that since the environment that created the urgency of Dodd-Frank no longer exists, determining…
FrontLine’s Founder and President Amy Lynch was a featured regulatory expert, joining a webinar panel to discuss the SEC’s new advertising rule. Rule 206(4)-1 was the subject of a recent webinar hosted by ThinkAdvisor and attended by over 400 industry professionals. Ms. Lynch presented a thorough overview of the new rule and highlighted its key…
Under current securities regulations, Chief Compliance Officers may face enforcement actions where firm violations show they failed to act or perform their required job functions. The growing liability CCOs face in their job and the ambiguity over what would constitute an enforcement action against them, form the basis for a new proposal from the New…