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PIMCO 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[...]
Read ArticleTrading and Markets Director Stephen Luparello to Leave SEC
November 21, 2016The Securities and Exchange Commission today announced that Stephen Luparello, Director of the Division of Trading and Markets, will leave[...]
Read ArticleChief Litigation Counsel Matthew C. Solomon to Leave SEC
November 21, 2016The Securities and Exchange Commission today announced that Matthew C. Solomon, the Chief Litigation Counsel for the SEC’s Enforcement Division,[...]
Read ArticleSEC Announces Agenda for December 8 Investor Advisory Committee Meeting
November 21, 2016The Securities and Exchange Commission today announced the agenda for the December 8 meeting of its Investor Advisory Commitee. The meeting[...]
Read ArticleSEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors
November 17, 2016The Securities and Exchange Commission today filed fraud charges against four individuals and others who allegedly profited by defrauding investors[...]
Read ArticleJPMorgan Chase Paying $264 Million to Settle FCPA Charges
November 17, 2016The Securities and Exchange Commission today announced that JPMorgan Chase & Co. has agreed to pay more than $130 million[...]
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