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SEC Names Marc A. Panucci as Deputy Chief Accountant
November 02, 2016The Securities and Exchange Commission today announced the appointment of Marc A. Panucci as a Deputy Chief Accountant in the[...]
Read ArticleSEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule
November 01, 2016Securities and Exchange Commission staff today made available additional economic analysis related to the Commission’s proposed rule regarding the use of derivatives by registered funds and business development companies. The analysis[...]
Read ArticleCompany Co-Founder Charged in Manipulation Scheme
October 31, 2016The Securities and Exchange Commission today charged the co-founder of a Minnesota-based energy company with manipulating its stock price and[...]
Read ArticleAudit 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[...]
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