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SEC Announces Measures to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions
October 26, 2017Today, following consultation with European authorities, and in response to concerns that investors could lose access to valuable research, the[...]
Read ArticleFormer Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits
October 25, 2017The Securities and Exchange Commission today charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding[...]
Read ArticleSEC Names Brett Redfearn as Director of the Division of Trading and Markets
October 18, 2017The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading[...]
Read ArticleSEC Names Brett Redfearn as Director of the Division of Trading and Markets
October 18, 2017The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading[...]
Read ArticleSEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
October 18, 2017The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal[...]
Read ArticleSEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
October 18, 2017The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal[...]
Read ArticleRio Tinto, Former Top Executives Charged With Fraud
October 17, 2017The Securities and Exchange Commission today charged mining company Rio Tinto and two former top executives with fraud for inflating[...]
Read ArticleRio Tinto, Former Top Executives Charged With Fraud
October 17, 2017The Securities and Exchange Commission today charged mining company Rio Tinto and two former top executives with fraud for inflating[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleSEC Announces Whistleblower Award of More Than a Million Dollars
October 12, 2017The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for[...]
Read ArticleLawyers Charged With Assisting a Microcap Fraud Scheme
October 11, 2017The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank[...]
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