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Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
February 12, 2018The Securities and Exchange Commission today announced a $1.658 billion budget request for fiscal year 2019 to support its core[...]
Read ArticleDeutsche Bank to Repay Misled Customers
February 12, 2018The Securities and Exchange Commission today instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay[...]
Read ArticleSEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
February 07, 2018The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today announced its 2018 examination priorities. OCIE publishes its[...]
Read ArticleSEC Halts Ongoing Fraud by Purported Hedge Fund Manager
February 02, 2018The Securities and Exchange Commission today charged a purported hedge fund manager in New York City with a brazen offering[...]
Read ArticleAlleged Perpetrator of Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties
February 02, 2018The Securities and Exchange Commission today announced that the Miami-based businessman behind an alleged scheme involving investments in a Vermont-based[...]
Read ArticleMichael Maloney, Enforcement’s Chief Accountant, to Leave SEC
January 30, 2018The Securities and Exchange Commission today announced that Michael F. Maloney, Chief Accountant of the SEC’s Division of Enforcement, is[...]
Read ArticleSEC Halts Alleged Initial Coin Offering Scam
January 30, 2018The Securities and Exchange Commission obtained a court order halting an allegedly fraudulent initial coin offering (ICO) that targeted retail[...]
Read ArticleSEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices
January 25, 2018The Securities and Exchange Commission (SEC) Office of Minority and Women Inclusion (OMWI) today introduced its Diversity Assessment Report for[...]
Read ArticleSix Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG
January 22, 2018The Securities and Exchange Commission today announced charges against six certified public accountants – including former staffers at the Public Company[...]
Read ArticleRobert Jackson and Hester Peirce Sworn In as SEC Commissioners
January 11, 2018Robert J. Jackson Jr. and Hester M. Peirce were sworn into office as SEC Commissioners this morning by SEC Chairman[...]
Read ArticleDr. Timothy Timura Named Deputy Chief Economist
January 11, 2018The Securities and Exchange Commission has named Dr. Timothy Timura, CFA, as Deputy Director and Deputy Chief Economist in the[...]
Read ArticleSEC and NYU to Host Jan. 19 Forum on Relationship Between Companies and Shareholders
January 11, 2018The U.S. Securities and Exchange Commission’s Division of Economic and Risk Analysis is partnering with New York University’s Salomon Center[...]
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