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Biotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug
September 29, 2016The Securities and Exchange Commission today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading[...]
Read ArticleSEC: Casino-Gaming Company Retaliated Against Whistleblower
September 29, 2016The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million[...]
Read ArticleOch-Ziff Hedge Fund Settles FCPA Charges
September 29, 2016The Securities and Exchange Commission today announced that Och-Ziff Capital Management Group has agreed to pay nearly $200 million to[...]
Read ArticleSEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies
September 29, 2016The Securities and Exchange Commission today announced the agenda for the October 5 meeting of its Advisory Committee on Small[...]
Read ArticleJane Norberg Named Chief of SEC Whistleblower Office
September 28, 2016The Securities and Exchange Commission today announced that Jane Norberg has been promoted to chief of the SEC’s Office of[...]
Read ArticleSEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions
September 28, 2016The Securities and Exchange Commission today voted to propose a rule amendment to shorten the standard settlement cycle for most[...]
Read ArticleSEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies
September 28, 2016The Securities and Exchange Commission voted today to adopt new rules to establish enhanced standards for the operation and governance[...]
Read ArticleSEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts
September 28, 2016The Securities and Exchange Commission today charged two lawyers and a brokerage firm manager in Peru with insider trading prior[...]
Read ArticleSEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors
September 28, 2016The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to[...]
Read ArticleSEC Charges Anheuser-Busch With Violating FCPA and Whistleblower Protection Laws
September 28, 2016The Securities and Exchange Commission today announced that Anheuser-Busch InBev has agreed to pay $6 million to settle charges that[...]
Read ArticleSEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry
September 27, 2016The Securities and Exchange Commission today announced it will host a public forum to discuss financial technology (Fintech) innovation in the[...]
Read ArticleOil Services Company Paying $140 Million Penalty for Accounting Fraud
September 27, 2016The Securities and Exchange Commission today announced that oil services company Weatherford International has agreed to pay a $140 million[...]
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