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Pamela C. Dyson, Chief Information Officer, to Leave SEC
September 20, 2018The Securities and Exchange Commission today announced that Pamela C. Dyson plans to leave the SEC to serve as executive[...]
Read ArticleChristopher Hetner, Senior Advisor to the Chairman for Cybersecurity Policy, to Leave the Agency
September 19, 2018The Securities and Exchange Commission today announced that Christopher R. Hetner, Senior Advisor to Chairman Jay Clayton for Cybersecurity Policy,[...]
Read ArticleSEC Provides Regulatory Relief and Assistance for Hurricane Victims
September 19, 2018The Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents,[...]
Read ArticleSEC Shuts Down $345 Million Fraud and Obtains Asset Freeze
September 19, 2018The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing Ponzi-like scheme that raised more[...]
Read ArticleSEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud
September 18, 2018The Securities and Exchange Commission announced today that its Division of Trading and Markets will host a roundtable on Sept. 26[...]
Read ArticleBiopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug
September 18, 2018The Securities and Exchange Commission today announced that a Boulder, Colorado-based biopharmaceutical company, its CEO, and its former CFO will[...]
Read ArticleSeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges
September 18, 2018The Securities and Exchange Commission today announced that SeaWorld Entertainment Inc. and its former CEO have agreed to pay more[...]
Read ArticleSEC and NYU to Host Sept. 21 Forum on High-Frequency Trading and Liquidity Resiliency
September 17, 2018The U.S. Securities and Exchange Commission's Division of Economic and Risk Analysis and Division of Trading and Markets are partnering with[...]
Read ArticleMark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices
September 17, 2018The Securities and Exchange Commission today announced that Mark E. Wolfe has been named Associate Director of the Office of[...]
Read ArticleSEC Charges Investment Advisers With Defrauding Retail Advisory Clients
September 14, 2018The Securities and Exchange Commission today charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13[...]
Read ArticleWhistleblower Receives Award of Approximately $1.5 Million
September 14, 2018The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1.5 million. The[...]
Read ArticleSEC Charges Citigroup for Dark Pool Misrepresentations
September 14, 2018The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark[...]
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