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Trading 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[...]
Read ArticleSEC Approves Plan to Create Consolidated Audit Trail
November 15, 2016The Securities and Exchange Commission today voted to approve a national market system (NMS) plan to create a single, comprehensive[...]
Read ArticleSEC Announces Agenda and Panelists for the 35th Annual Small Business Forum
November 15, 2016The Securities and Exchange Commission today announced the agenda and panelists for the 35th Annual Government-Business Forum on Small Business[...]
Read ArticleSEC Chair Mary Jo White Announces Departure Plans
November 14, 2016SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave[...]
Read ArticleSEC Issues $20 Million Whistleblower Award
November 14, 2016The Securities and Exchange Commission today announced an award of more than $20 million to a whistleblower who promptly came[...]
Read ArticleFirm Charged With Misleading Investors About Binary Options Profitability
November 10, 2016The Securities and Exchange Commission today announced that an Israeli-based firm must pay more than $1.7 million for misleading investors[...]
Read ArticleMovie Producer Charged With Defrauding Hedge Fund Investors
November 09, 2016The Securities and Exchange Commission today charged a former movie producer and self-proclaimed private equity executive with defrauding investors in[...]
Read ArticleSEC Announces Agenda, Panelists for Nov. 14 Fintech Forum
November 03, 2016The Securities and Exchange Commission today announced the agenda and panelists for its Nov. 14 forum to discuss fintech innovation[...]
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