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Audit Partner Charged in Failed Audits of Venture Capital Fund
October 31, 2016The Securities and Exchange Commission today announced proceedings against a PricewaterhouseCoopers audit partner who served as engagement partner for the[...]
Read ArticleFirm and Partner Charged With Issuing Fraudulent Audit Reports
October 31, 2016The Securities and Exchange Commission today announced that a New York-based audit firm and a senior partner agreed to settle[...]
Read ArticleSEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 17
October 27, 2016The Securities and Exchange Commission today announced that it will hold its annual Government-Business Forum on Small Business Capital Formation[...]
Read ArticleSEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings
October 26, 2016The Securities and Exchange Commission today adopted final rules that modernize how companies can raise money to fund their businesses[...]
Read ArticleSEC Proposes Amendments to Require Use of Universal Proxy Cards
October 26, 2016The Securities and Exchange Commission today voted to propose amendments to the proxy rules to require parties in a contested[...]
Read ArticleEmbraer Paying $205 Million to Settle FCPA Charges
October 24, 2016The Securities and Exchange Commission today announced a global settlement along with the U.S. Department of Justice and Brazilian authorities[...]
Read ArticleJohn W. Berry Named Associate Regional Director for Enforcement in Los Angeles Office
October 21, 2016The Securities and Exchange Commission today announced that John W. Berry has been named Associate Regional Director for Enforcement in[...]
Read ArticleSEC Charges Board Member With Insider Trading During and After Board Meeting
October 21, 2016The Securities and Exchange Commission today charged a Tennessee-based lawyer who served on the executive committee of the board of[...]
Read ArticleCompany and Former Executives Paying Penalties for Accounting Violations
October 20, 2016The Securities and Exchange Commission today announced that a Houston-based technology solutions company has agreed to pay a $2.5 million[...]
Read ArticleSEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business
October 18, 2016The Securities and Exchange Commission today announced that Israeli-based Bank Leumi has agreed to pay $1.6 million and admit wrongdoing[...]
Read ArticleErnst & Young to Pay $11.8 Million for Audit Failures
October 18, 2016The Securities and Exchange Commission today announced that Ernst & Young LLP has agreed to pay more than $11.8 million[...]
Read ArticleSEC Charges Energy Services Company and Executives With Accounting Fraud
October 17, 2016The Securities and Exchange Commission today charged an energy services provider and four executives for their roles in an accounting[...]
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