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SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
June 28, 2016The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement[...]
Read ArticleSEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act
June 27, 2016The Securities and Exchange Commission today announced it adopted rules to require resource extraction issuers to disclose payments made to[...]
Read ArticleSEC Proposes Amendments to Smaller Reporting Company Definition
June 27, 2016The Securities and Exchange Commission voted today to propose amendments that would increase the financial thresholds in the “smaller reporting[...]
Read ArticleSEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud
June 24, 2016The Securities and Exchange Commission today charged four companies and eight individuals in an $80 million oil and gas fraud[...]
Read ArticleMerrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes
June 23, 2016The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $10 million penalty to settle[...]
Read ArticleMerrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
June 23, 2016The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to[...]
Read ArticleSEC Sues UK-Based Trader for Account Intrusion Scheme
June 22, 2016The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a[...]
Read ArticleSEC Charges Medical Device Manufacturer With FCPA Violations
June 21, 2016The Securities and Exchange Commission today announced that Massachusetts-based medical device manufacturer Analogic Corp. and its wholly-owned Danish subsidiary have[...]
Read ArticleFormer CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges
June 21, 2016The Securities and Exchange Commission today announced a settlement with Juan Rangel, the former President of UNO Charter School Network[...]
Read ArticleSEC Halts Scheme Defrauding Pro Athletes
June 21, 2016The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of an investment[...]
Read ArticleSEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices
June 17, 2016The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange. At[...]
Read ArticleSoftware Executive and Three Friends Charged With Insider Trading
June 16, 2016The Securities and Exchange Commission today announced insider trading charges against a former software company executive and three close friends[...]
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