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Statement Regarding Progress on the Review of the U.S. Treasury Market Structure since the July 2015 Joint Staff Report
August 02, 2016The U.S. Department of the Treasury, the Board of Governors of the Federal Reserve System, the Federal Reserve Bank of[...]
Read ArticleSEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee
July 28, 2016The Securities and Exchange Commission will hold a meeting of the Equity Market Structure Advisory Committee on August 2, beginning[...]
Read ArticleSEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees
July 28, 2016The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to[...]
Read ArticleSEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades
July 26, 2016The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million[...]
Read ArticleLAN Airlines Settles FCPA Charges
July 25, 2016The Securities and Exchange Commission today announced that South American-based LAN Airlines has agreed to pay more than $22 million[...]
Read ArticleVincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC
July 22, 2016The Securities and Exchange Commission today announced that Vincente L. Martinez, Chief of the SEC’s Office of Market Intelligence is[...]
Read ArticleDeputy Chief Accountant Brian T. Croteau to Leave SEC
July 22, 2016The Securities and Exchange Commission today announced that Brian T. Croteau, Deputy Chief Accountant, is planning to leave the agency.[...]
Read ArticleSEC Halts Ongoing Fraudulent Stock Scheme
July 22, 2016The Securities and Exchange Commission today announced it has won a court-ordered asset freeze to halt an ongoing fraud by[...]
Read ArticleAccountant Suspended for Failing to Spot Fraud in Company Audit
July 22, 2016The Securities and Exchange Commission today suspended an accountant for conducting a faulty audit of the financial statements of a[...]
Read ArticleWesley R. Bricker Named Interim Chief Accountant
July 21, 2016The Securities and Exchange Commission today announced that Wesley R. Bricker has been named the Commission’s Interim Chief Accountant responsible[...]
Read ArticleKurt Gottschall Named Associate Regional Director in the SEC’s Denver Regional Office
July 20, 2016The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named the Associate Regional Director for enforcement[...]
Read ArticleSEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies
July 14, 2016The Securities and Exchange Commission today announced the agenda for the July 19 meeting of its Advisory Committee on Small[...]
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