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Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office
June 20, 2017The Securities and Exchange Commission today announced that Kathryn A. Pyszka has been named an Associate Regional Director for Enforcement[...]
Read ArticleKeith Cassidy Named Associate Director of Technology Controls Program in OCIE
June 15, 2017The Securities and Exchange Commission today announced that Keith E. Cassidy has been named Associate Director, Technology Controls Program, in the[...]
Read ArticleKeith Cassidy Named Associate Director of Technology Controls Program in OCIE
June 15, 2017The Securities and Exchange Commission today announced that Keith E. Cassidy has been named Associate Director, Technology Controls Program, in the[...]
Read ArticleSEC Announces Agenda for June 22 Investor Advisory Committee Meeting
June 14, 2017The Securities and Exchange Commission today announced the agenda for the June 22 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Announces Agenda for June 22 Investor Advisory Committee Meeting
June 14, 2017The Securities and Exchange Commission today announced the agenda for the June 22 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement
June 08, 2017The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal[...]
Read ArticleSEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement
June 08, 2017The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal[...]
Read ArticleSEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws
June 05, 2017The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2017
May 31, 2017The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2017
May 31, 2017The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities[...]
Read ArticleSEC Names Peter Uhlmann Managing Executive in Chairman’s Office
May 25, 2017The Securities and Exchange Commission today announced that Peter Uhlmann has been named the managing executive in the Office of[...]
Read ArticleSEC Names Peter Uhlmann Managing Executive in Chairman’s Office
May 25, 2017The Securities and Exchange Commission today announced that Peter Uhlmann has been named the managing executive in the Office of[...]
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