SEC Charges Investment Banker in Insider Trading Scheme

The Securities and Exchange Commission today charged an employee of a prominent investment bank with repeatedly using his access to highly confidential information in order to place illicit and profitable trades in advance of deals on which the bank wa…

SEC Charges Long Island Investment Professional in $8 Million Scam Targeting Long-Standing Brokerage Customers

The Securities and Exchange Commission today charged a former registered representative with defrauding long-standing brokerage customers in an $8 million investment scam. 

According to the SEC’s complaint, Steven Pagartanis, who was affiliated with …

SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta

The Securities and Exchange Commission today announced that the SEC Investor Advisory Committee (IAC) will hold its first-ever meeting outside Washington, D.C. on June 14, 2018 at 8:30 a.m. in Atlanta.

In another first, all five SEC Commissioners are …

SEC Charges Long Island Investment Professional in $8 Million Scam Targeting Long-Standing Brokerage Customers

The Securities and Exchange Commission today charged a former registered representative with defrauding long-standing brokerage customers in an $8 million investment scam. 

According to the SEC’s complaint, Steven Pagartanis, who was affiliated with …

SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta

The Securities and Exchange Commission today announced that the SEC Investor Advisory Committee (IAC) will hold its first-ever meeting outside Washington, D.C. on June 14, 2018 at 8:30 a.m. in Atlanta.

In another first, all five SEC Commissioners are …

SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme

The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing fraud involving an initial coin offering (ICO) that raised as much as $21 million from investors in and outside the U.S.  The court also approved an…

Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency

The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris, the Chief Economist and Director of the Division of Economic and Risk Analysis (DERA) and a Professor of Finance at American University’s Kogod School of Business, will …

SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme

The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing fraud involving an initial coin offering (ICO) that raised as much as $21 million from investors in and outside the U.S.  The court also approved an…

Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency

The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris, the Chief Economist and Director of the Division of Economic and Risk Analysis (DERA) and a Professor of Finance at American University’s Kogod School of Business, will …

SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds

The Securities and Exchange Commission today proposed rules and amendments that would promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, and similar covered investment funds. 

The pro…

SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds

The Securities and Exchange Commission today proposed rules and amendments that would promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, and similar covered investment funds. 

The pro…

Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors

The Securities and Exchange Commission today announced that the five-member Commission and staff from across the agency will be in Atlanta on June 13 for an interactive event with investors at Georgia State University College of Law. The event is an op…