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SEC 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[...]
Read ArticleSEC Charges Diamond Foods and Two Former Executives Following Accounting Scheme to Boost Earnings Growth
January 09, 2014The Securities and Exchange Commission today charged San Francisco-based snack foods company Diamond Foods and its former CFO in an[...]
Read ArticleSEC Charges Alcoa With FCPA Violations
January 09, 2014The Securities and Exchange Commission today charged global aluminum producer Alcoa Inc. with violating the Foreign Corrupt Practices Act (FCPA)[...]
Read ArticleSEC 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[...]
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