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SEC 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[...]
Read ArticleSEC: Hedge Fund Adviser Lied to Investors
December 16, 2015The Securities and Exchange Commission today barred a hedge fund adviser from the securities industry for making a series of[...]
Read ArticleSEC Announces Fraud Charges Against Investment Adviser
December 15, 2015The Securities and Exchange Commission today announced fraud charges against a Stamford, Conn.-based investment advisory firm accused of investing clients[...]
Read ArticleSEC Files Charges in Multi-Million Dollar Market Manipulation
December 15, 2015The Securities and Exchange Commission today charged a New Jersey man and his company with illicitly pocketing $13 million from[...]
Read ArticleSEC: Sports Team Offering Is A Penny Stock Fraud
December 11, 2015The Securities and Exchange Commission today announced fraud charges and a court-ordered asset freeze obtained against a Florida-based penny stock[...]
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