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Robert M. Fisher Named Managing Executive of the Office of Compliance Inspections and Examinations
March 08, 2016The Securities and Exchange Commission today announced that Robert M. Fisher has been named Managing Executive of the Office of[...]
Read ArticleSEC Announces Creation of Office of Risk and Strategy for its National Exam Program
March 08, 2016The Securities and Exchange Commission today announced the creation of the Office of Risk and Strategy within its Office of[...]
Read ArticleSEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering
March 07, 2016The Securities and Exchange Commission today charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding[...]
Read ArticleSEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business
March 01, 2016The Securities and Exchange Commission today announced that Qualcomm Incorporated has agreed to pay $7.5 million to settle charges that[...]
Read ArticleFee Rate Advisory #4 for Fiscal Year 2016
February 25, 2016Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]
Read ArticleVimpelCom to Pay $795 Million in Global Settlement for FCPA Violations
February 18, 2016The Securities and Exchange Commission today announced a global settlement along with the U.S. Department of Justice and Dutch regulators[...]
Read ArticleDaniel Kahl Named as Chief Counsel of National Exam Program
February 17, 2016The Securities and Exchange Commission today announced that Daniel S. Kahl has been named Chief Counsel of its Office of[...]
Read ArticleSEC Charges Biopesticide Company and Former Executive With Accounting Fraud
February 17, 2016The Securities and Exchange Commission today charged biopesticide company Marrone Bio Innovations and a former executive with inflating financial results[...]
Read ArticleSEC Announces Agenda for February 25 Meeting of the Advisory Committee on Small and Emerging Companies
February 17, 2016The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
Read ArticleSEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View
February 17, 2016The Securities and Exchange Commission today charged a former Deutsche Bank research analyst with certifying a rating on a stock[...]
Read ArticleSEC: Tech Company Bribed Chinese Officials
February 16, 2016The Securities and Exchange Commission today announced that a Massachusetts-based technology company and its Chinese subsidiaries agreed to pay more[...]
Read ArticleSEC: California Man Sold Investors Phony Stock to Pay Gambling Debts
February 11, 2016The Securities and Exchange Commission today charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a[...]
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