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SEC Names Michael Osnato as Chief of Enforcement Division’s Complex Financial Instruments Unit
January 06, 2014The Securities and Exchange Commission today announced that Michael J. Osnato, Jr. has been named chief of the Enforcement Division[...]
Read ArticleEnforcement Co-Director George Canellos to Leave SEC
January 03, 2014The Securities and Exchange Commission today announced that George S. Canellos, co-director of its Enforcement Division, will leave the agency[...]
Read ArticleAgencies Reviewing Treatment of Collateralized Debt Obligations Backed by Trust Preferred Securities under Final Rules Implementing the “Volcker rule”
December 27, 2013The Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities[...]
Read ArticleSEC Removes References to NRSRO Ratings in Certain Rules and Forms
December 27, 2013The Securities and Exchange Commission today announced that it has adopted amendments to eliminate references in certain of its rules[...]
Read ArticleSEC Charges New York-Based Brokerage Firm for Ignoring Red Flags in Soft Dollar Scheme
December 26, 2013The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying[...]
Read ArticleSEC Issues Annual Staff Reports on Credit Rating Agencies
December 24, 2013The Securities and Exchange Commission today issued its annual staff report on the findings of examinations of credit rating agencies[...]
Read ArticleSEC Charges Archer-Daniels-Midland Company With FCPA Violations
December 20, 2013The Securities and Exchange Commission today charged global food processor Archer-Daniels-Midland Company (ADM) for failing to prevent illicit payments made[...]
Read ArticleSEC Charges Woman and Stepson for Involvement in ZeekRewards Ponzi and Pyramid Scheme
December 20, 2013The Securities and Exchange Commission today announced charges against a woman and her stepson for their involvement in a North[...]
Read ArticleSEC Issues Staff Report on Public Company Disclosure
December 20, 2013The Securities and Exchange Commission today issued a staff report to Congress on its disclosure rules for U.S. public companies,[...]
Read ArticleSEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News
December 19, 2013The Securities and Exchange Commission today charged a senior portfolio manager at Microsoft Corporation and his friend and business partner[...]
Read ArticleFederal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities
December 19, 2013JOINT RELEASE Board of Governors of the Federal Reserve System Consumer Financial Protection Bureau Federal Deposit Insurance Corporation National Credit[...]
Read ArticleSEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions
December 18, 2013The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global[...]
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