SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

The Securities and Exchange Commission yesterday charged New York-based broker-dealer AOC Securities LLC, and its former chief executive officer, Ronaldo[...]

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice

The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities. The guidance[...]

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice

The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities. The guidance[...]

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets

SEC Charges TherapeuticsMD With Regulation FD Violations

SEC Charges TherapeuticsMD With Regulation FD Violations

Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs

SEC Charges Former CFO of Cash Advance Company With Defrauding Thousands of Retail Investors

SEC Releases Videos for Investors on Choosing and Working with a Financial Professional

SEC Wins Jury Trial Against Broker Charged with Insider Trading

SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors

SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme