SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud

The Securities and Exchange Commission today charged a Pennsylvania investment adviser with operating an investment advisory fraud involving over $100[...]

RSM US LLP Charged With Violating Auditor Independence Rules

The Securities and Exchange Commission today charged public accounting firm RSM US LLP with violations of the agency’s auditor independence[...]

Fee Rate Advisory #1 for Fiscal Year 2020

The Securities and Exchange Commission today announced that in fiscal year 2020 the fees that public companies and other issuers[...]

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