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SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool
January 15, 2015The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related[...]
Read ArticleSEC Adopts Rules to Increase Transparency in Security-Based Swap Market
January 14, 2015The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs)[...]
Read ArticleSEC Announces Members of New Equity Market Structure Advisory Committee
January 13, 2015The Securities and Exchange Commission today announced the members of a new Equity Market Structure Advisory Committee, which will focus[...]
Read ArticleSEC Charges Canadian Man With Conducting Fraudulent Trading Scheme
January 13, 2015The Securities and Exchange Commission today charged a man living in Ontario, Canada, with orchestrating a lucrative market manipulation scheme[...]
Read ArticleSEC Announces 2015 Examination Priorities
January 13, 2015The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015 which focus[...]
Read ArticleSEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types
January 12, 2015The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by[...]
Read ArticleSEC Names Walter Jospin as Regional Director of Atlanta Office
January 08, 2015The Securities and Exchange Commission today named Walter E. Jospin as Regional Director of its Atlanta office, where he will[...]
Read ArticleSEC Announces Program to Facilitate Analysis of Corporate Financial Data
December 30, 2014The Securities and Exchange Commission today announced the launch of a pilot program to facilitate investor analysis and comparisons of[...]
Read ArticleSEC Announces Charges Against N.Y.-Based Firm and Three Executives Accused of Siphoning Investor Money
December 29, 2014The Securities and Exchange Commission today announced charges against three fund managers and their New York-based firm accused of secretly[...]
Read ArticleSEC Issues Annual Staff Reports on Credit Rating Agencies
December 23, 2014The Securities and Exchange Commission today issued its annual staff report on the findings of examinations of credit rating agencies[...]
Read ArticleSEC Charges California-Based Stock Promoter With Defrauding Investors Seeking Pre-IPO Facebook and Twitter Shares
December 23, 2014The Securities and Exchange Commission today charged a stock promoter based in Santa Barbara, Calif., with fraudulently raising nearly $3.5[...]
Read ArticleSEC Charges Two Traders in Chile With Insider Trading
December 22, 2014The Securities and Exchange Commission today charged two business associates in Chile with insider trading on nonpublic information that one[...]
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