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Steven A. Cohen Barred From Supervisory Hedge Fund Role
January 08, 2016The Securities and Exchange Commission today announced that hedge fund manager Steven A. Cohen will be prohibited from supervising funds[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2016
January 07, 2016The Securities and Exchange Commission today announced that starting on Feb. 16, 2016, the fee rates applicable to most securities[...]
Read ArticleSEC: J.P. Morgan Misled Customers on Broker Compensation
January 06, 2016The Securities and Exchange Commission today announced that J.P. Morgan’s brokerage business agreed to pay $4 million to settle charges[...]
Read ArticleTraders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case
December 28, 2015The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more[...]
Read ArticleSEC Issues Annual Staff Reports on Credit Rating Agencies
December 28, 2015The Securities and Exchange Commission today issued its two annual staff reports on credit rating agencies registered as nationally recognized[...]
Read ArticleSEC Seeks Public Comment on Transfer Agent Rules
December 22, 2015The Securities and Exchange Commission today voted to issue an advanced notice of proposed rulemaking (ANPR) for new requirements for[...]
Read ArticleMorgan Stanley Settles Charges in “Parking” Scheme
December 22, 2015The Securities and Exchange Commission today announced that Morgan Stanley Investment Management has agreed to pay $8.8 million to settle[...]
Read ArticleSEC Charges Financial Advisor in Market Manipulation Case
December 21, 2015The Securities and Exchange Commission today announced additional fraud charges in a market manipulation case the agency filed last week.[...]
Read ArticleConvicted Fraudster Using Aliases Charged Again for Defrauding Investors
December 18, 2015The Securities and Exchange Commission today charged a known securities fraudster with conducting a new scheme since his release from[...]
Read ArticleSEC Issues Staff Report on Accredited Investor Definition
December 18, 2015The Securities and Exchange Commission today issued a staff report on the accredited investor definition. The Dodd-Frank Wall Street Reform[...]
Read ArticleJ.P. Morgan to Pay $267 Million for Disclosure Failures
December 18, 2015The Securities and Exchange Commission today announced that two J.P. Morgan wealth management subsidiaries have agreed to pay $267 million[...]
Read ArticleSEC Charges Martin Shkreli With Fraud
December 17, 2015The Securities and Exchange Commission today charged Martin Shkreli, former CEO of pharmaceutical company Retrophin, with committing fraud during a[...]
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