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SEC Promotes Teacher Investment Outreach
October 15, 2019The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with its Teachers Initiative. These initiatives include[...]
Read ArticleSupervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs
October 15, 2019The Securities and Exchange Commission today announced that Domenick Migliorato, a former supervisor of the securities lending desk at Industrial[...]
Read ArticleSEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
September 19, 2019The Securities and Exchange Commission today announced that it took a significant step toward establishing the regulatory regime for security-based[...]
Read ArticleSEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
September 18, 2019The Securities and Exchange Commission today sued ICOBox and its founder Nikolay Evdokimov for conducting an illegal $14 million securities[...]
Read ArticleSEC Halts Alleged $125 Million Offering Fraud
September 18, 2019The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and[...]
Read ArticleSEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
September 17, 2019The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and[...]
Read ArticleRaymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
September 17, 2019The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees[...]
Read ArticleTwo Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
September 16, 2019The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO[...]
Read ArticleSEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
September 16, 2019The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest[...]
Read ArticleSEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
September 16, 2019The Securities and Exchange Commission today announced that Marvell Technology Group, Ltd. will pay $5.5 million to settle charges that[...]
Read ArticleJames M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service
September 11, 2019The Securities and Exchange Commission today announced that James M. Daly, Division of Corporation Finance Associate Director, will retire at[...]
Read ArticleSEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
September 09, 2019The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit[...]
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