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SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
March 20, 2019The Securities and Exchange Commission today voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers,[...]
Read ArticleJustin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office
March 18, 2019The Securities and Exchange Commission today announced that Justin C. Jeffries has been named the Associate Regional Director for enforcement[...]
Read ArticleSEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
March 15, 2019The Securities and Exchange Commission today charged Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief[...]
Read ArticleSEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets
March 15, 2019The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT)[...]
Read ArticleSEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud
March 15, 2019The Securities and Exchange Commission today charged Volkswagen AG, two of its subsidiaries, and its former CEO, Martin Winterkorn, for[...]
Read ArticleJason J. Burt Named Associate Regional Director for Enforcement in SEC’s Denver Office
March 14, 2019The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement[...]
Read ArticleWedbush Settles Failure to Supervise Charge
March 13, 2019The Securities and Exchange Commission announced today that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to[...]
Read ArticleSEC Announces March 28 Meeting of Investor Advisory Committee
March 12, 2019The Securities and Exchange Commission today announced the agenda for the March 28 meeting of its Investor Advisory Committee. The[...]
Read ArticleFee Rate Advisory #2 for Fiscal Year 2019
March 12, 2019The Securities and Exchange Commission today announced that starting on April 16, 2019, the fee rates applicable to most securities[...]
Read ArticleSEC Charges Lumber Liquidators With Fraud
March 12, 2019The Securities and Exchange Commission today announced charges against Lumber Liquidators Holdings Inc. for making fraudulent misstatements to investors. The[...]
Read ArticleSEC Share Class Initiative Returning More Than $125 Million to Investors
March 11, 2019The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more than $125 million[...]
Read ArticleMobile TeleSystems Settles FCPA Violations
March 06, 2019The Securities and Exchange Commission today announced that Russian telecommunications provider Mobile TeleSystems PJSC (MTS) will pay $100 million to resolve[...]
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