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SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance
April 29, 2015The Securities and Exchange Commission today voted to propose rules to require companies to disclose the relationship between executive compensation[...]
Read ArticleSEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.
April 29, 2015The Securities and Exchange Commission today voted to propose rules governing the application of certain requirements to security-based swap transactions[...]
Read ArticleSEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations
April 29, 2015The Securities and Exchange Commission today announced charges against a Santa Barbara, Calif.-based hedge fund advisory firm and two executives[...]
Read ArticleSEC Announces Award to Whistleblower in First Retaliation Case
April 28, 2015The Securities and Exchange Commission today announced a maximum whistleblower award payment of 30 percent of amounts collected in connection[...]
Read ArticleSEC Charges Issuer for Failing to Make Public Filings
April 22, 2015The Securities and Exchange Commission today charged W2007 Grace Acquisition I Inc., a real estate investment firm, with failing to[...]
Read ArticleSEC Announces Million-Dollar Whistleblower Award to Compliance Officer
April 22, 2015The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance professional who[...]
Read ArticleFort Worth Regional Director David Woodcock to Leave SEC
April 20, 2015The Securities and Exchange Commission today announced that David Woodcock, Regional Director of the Fort Worth office and leader of[...]
Read ArticleSEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards
April 20, 2015The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a[...]
Read ArticleSEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee
April 17, 2015The Securities and Exchange Commission today announced that its Equity Market Structure Advisory Committee will hold its first meeting on[...]
Read ArticleSEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers
April 16, 2015The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in a scheme to offer and sell[...]
Read ArticleSEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers
April 16, 2015The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at[...]
Read ArticleSEC Staff and FINRA Issue Report on National Senior Investor Initiative
April 15, 2015With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will[...]
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