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Former Amazon Employee and College Friend Charged With Insider Trading
September 07, 2017The Securities and Exchange Commission today announced insider trading charges against a former Amazon financial analyst who allegedly leaked confidential[...]
Read ArticleState Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
September 07, 2017The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle[...]
Read ArticleSEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies
September 06, 2017The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and[...]
Read ArticleRadio Host Charged With Concert Ticket Investment Scam
September 06, 2017The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions[...]
Read ArticleChairman Clayton Names Executive Staff
August 31, 2017The Securities and Exchange Commission today announced that John Cook, Jeffrey Dinwoodie, Raquel Fox, Kristina Littman, Alan Cohen, Christopher Carofine,[...]
Read ArticleSEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis
August 31, 2017The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris has been named Director of the agency's Division[...]
Read ArticleSEC Names Dalia Blass as Director of the Division of Investment Management
August 31, 2017The Securities and Exchange Commission today announced that Dalia Blass has been named Director of the agency's Division of Investment[...]
Read ArticleSEC and NYU to Host Forum on Exchange-Traded Products
August 31, 2017The Securities and Exchange Commission and New York University will host a forum in September to examine the fast growing[...]
Read ArticleFormer Pharma Company Accountant, Three Others Charged With Insider Trading
August 31, 2017The Securities and Exchange Commission today charged an accountant and three others with insider trading on market-moving news about the[...]
Read ArticleSEC Monitoring Market Impact of Hurricane Harvey
August 30, 2017The Securities and Exchange Commission is closely monitoring the impact of Hurricane Harvey on investors and capital markets. Chairman Jay Clayton[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2018
August 24, 2017The Securities and Exchange Commission today announced that in fiscal year 2018 the fees that public companies and other issuers[...]
Read ArticleMuni Bond Issuer and Underwriter Charged With Disclosure Failures
August 23, 2017The Securities and Exchange Commission today announced that a municipal financing authority in Beaumont, California, and its then-executive director have[...]
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