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Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies
December 06, 2016The Securities and Exchange Commission today announced that a San Francisco-based firm agreed to settle charges that it violated federal[...]
Read ArticleIT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information
December 05, 2016The Securities and Exchange Commission today announced insider trading charges against a San Francisco-based information technology specialist who allegedly hacked[...]
Read ArticleSEC Awards $3.5 Million To Whistleblower
December 05, 2016The Securities and Exchange Commission today announced that a whistleblower has been awarded approximately $3.5 million for coming forward with[...]
Read ArticleChief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC
December 02, 2016The Securities and Exchange Commission today announced that Chief Economist and Division of Economic and Risk Analysis (DERA) Director Mark[...]
Read ArticleUnited Settles Charges in Case of Flight Route to Benefit Public Official
December 02, 2016The Securities and Exchange Commission today announced that the parent company of United Airlines has agreed to pay $2.4 million[...]
Read ArticlePIMCO Settles Charges of Misleading Investors About ETF Performance
December 01, 2016The Securities and Exchange Commission today announced that investment management firm Pacific Investment Management Company (PIMCO) agreed to retain an[...]
Read ArticleSEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7
December 01, 2016The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold a public[...]
Read ArticleSEC Charges Asset Management Fund and Manager
December 01, 2016The Securities and Exchange Commission today announced fraud charges and an asset freeze against Miami Beach-based asset management company Onix[...]
Read ArticleSEC Votes to Renew Equity Market Structure Advisory Committee
November 29, 2016The Securities and Exchange Commission today announced that the Commission voted to renew the Equity Market Structure Advisory Committee’s charter[...]
Read ArticleSEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee
November 23, 2016The Securities and Exchange Commission today announced the agenda for its Equity Market Structure Advisory Committee meeting on Nov. 29,[...]
Read ArticleSEC Names Wesley R. Bricker as Chief Accountant
November 22, 2016The Securities and Exchange Commission today announced that Wesley R. Bricker will become the Chief Accountant and succeeds James Schnurr[...]
Read ArticleChief Accountant James Schnurr to Leave SEC
November 22, 2016The Securities and Exchange Commission today announced that Chief Accountant James Schnurr intends to retire from the agency. Mr. Schnurr began[...]
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