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Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients
February 21, 2014The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws[...]
Read ArticleDivision of Trading And Markets Acting Director John Ramsay to Leave SEC
February 20, 2014The Securities and Exchange Commission today announced that John Ramsay, acting director of the Division of Trading and Markets, will[...]
Read ArticleStephen Luparello Named as Director of SEC’s Division of Trading and Markets
February 20, 2014The Securities and Exchange Commission today announced that it has named Stephen Luparello as director of its Division of Trading[...]
Read ArticleSEC Charges Three California Residents Behind Movie Investment Scam
February 20, 2014The Securities and Exchange Commission today charged three California residents with defrauding investors in a purported multi-million dollar movie project[...]
Read ArticleSEC Announces Initiative Directed at Never-Before Examined Registered Investment Advisers
February 20, 2014The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative[...]
Read ArticleSEC Names Sharon Binger as Director of Philadelphia Regional Office
February 20, 2014The Securities and Exchange Commission today named Sharon B. Binger as director of the Philadelphia Regional Office, where she will[...]
Read ArticleElizabeth Murphy Named as Associate Director in the Division of Corporation Finance
February 14, 2014The Securities and Exchange Commission today announced that Elizabeth Murphy has been named an associate director in its Division of[...]
Read ArticleSEC to Hold Cybersecurity Roundtable
February 14, 2014The Securities and Exchange Commission today announced that it will host a roundtable next month to discuss cybersecurity and the[...]
Read ArticleSEC Approves 2014 PCAOB Budget and Accounting Support Fee
February 14, 2014The Securities and Exchange Commission voted February 5 to approve the 2014 budget of the Public Company Accounting Oversight Board[...]
Read ArticleFee Rate Advisory #3 for Fiscal Year 2014
February 12, 2014The Securities and Exchange Commission today announced that starting on March 18, 2014, the fee rates applicable to most securities[...]
Read ArticleDavid Fredrickson Named Chief Counsel in the Division of Corporation Finance
February 12, 2014The Securities and Exchange Commission today announced that David Fredrickson has been named associate director and chief counsel in the[...]
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