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SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account
January 29, 2014The Securities and Exchange Commission today announced charges against the former director of internal audit at a Chicago-based health care[...]
Read ArticleBarbara Lorenzen Named to Senior Position in National Exam Program
January 28, 2014The Securities and Exchange Commission today announced that Barbara S. Lorenzen has been promoted to a senior position in the[...]
Read ArticleSEC Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments
January 28, 2014The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today issued a Risk Alert on the due[...]
Read ArticleSEC Charges Legg Mason Affiliate With Defrauding Clients
January 27, 2014The Securities and Exchange Commission today announced sanctions against a California-based investment adviser for concealing investor losses that resulted from[...]
Read ArticleSEC Charges KPMG With Violating Auditor Independence Rules
January 24, 2014The Securities and Exchange Commission today charged public accounting firm KPMG with violating rules that require auditors to remain independent[...]
Read ArticleFormer Oppenheimer Fund Manager Agrees to Settle Fraud Charges
January 22, 2014The Securities and Exchange Commission today announced that a former Oppenheimer & Co. portfolio manager has agreed to be barred[...]
Read ArticleSEC Obtains Settlements in Penny Stock “Shell Packaging” Case
January 15, 2014The Securities and Exchange Commission today announced nearly $300,000 in settlements against a Virginia-based “shell packaging” company and its CEO[...]
Read ArticleAgencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities
January 14, 2014Five federal agencies on Tuesday approved an interim final rule to permit banking entities to retain interests in certain collateralized[...]
Read ArticleSEC Announces New Date for Compliance with Final Municipal Advisor Registration Rules
January 13, 2014The Securities and Exchange Commission today announced that compliance with the final municipal advisor registration rules will not be required until July[...]
Read ArticleInterpretive Guidance on Municipal Advisor Registration Rules
January 10, 2014The Securities and Exchange Commission today announced that its Office of Municipal Securities has issued interpretive guidance to address questions[...]
Read ArticleMyron Marlin, Director of Communications, to Leave SEC
January 10, 2014The Securities and Exchange Commission today announced that Myron Marlin will be leaving the SEC after nearly five years as[...]
Read ArticleSEC Announces 2014 Examination Priorities
January 09, 2014The Securities and Exchange Commission today announced its examination priorities for 2014, which cover a wide range of issues at[...]
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