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SEC Names Richard Best As Regional Director of Atlanta Office
January 10, 2018The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Atlanta office. Mr. Best will[...]
Read ArticleSEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee
January 08, 2018The Securities and Exchange Commission today released the agenda for the inaugural meeting of the Fixed Income Market Structure Advisory[...]
Read ArticleAnnual Staff Reports on Credit Rating Agencies Show Improvements
December 29, 2017Credit rating agencies under Securities and Exchange Commission oversight show improved compliance, increased information technology resources, and continued competition, according[...]
Read ArticleCommission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
December 22, 2017The Securities and Exchange Commission today announced publication of staff guidance for publicly traded companies, auditors, and others to help[...]
Read ArticleCommission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
December 22, 2017The Securities and Exchange Commission today announced publication of staff guidance for publicly traded companies, auditors, and others to help[...]
Read ArticleGerald Hodgkins, Associate Director of the SEC’s Enforcement Division, to Leave the Agency After 20 Years of Service
December 21, 2017The Securities and Exchange Commission today announced that Gerald W. Hodgkins, an Associate Director of the Division of Enforcement, will[...]
Read ArticleSEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
December 21, 2017The Securities and Exchange Commission today announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many[...]
Read ArticleBroker Charged With Giving Special Access to IPOs for Cash Kickbacks
December 19, 2017The Securities and Exchange Commission today charged a Wall Street stockbroker with illegally accepting more than $1 million in undisclosed[...]
Read ArticleMarc P. Berger Named Director of New York Regional Office
December 18, 2017The Securities and Exchange Commission today announced that Marc P. Berger has been named Director of the New York Regional[...]
Read ArticleSEC Names Kenneth A. Johnson as Chief Operating Officer
December 14, 2017The Securities and Exchange Commission today announced that Kenneth A. Johnson has been named the agency's Chief Operating Officer (COO). Mr.[...]
Read ArticleDivision of Trading and Markets Deputy Director Gary Barnett to Retire
December 13, 2017The Securities and Exchange Commission today announced that Gary Barnett, Deputy Director in the Division of Trading and Markets, will[...]
Read ArticleSEC Appoints New Chairman and Board Members to PCAOB
December 12, 2017The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown,[...]
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