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SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
July 18, 2019The Securities and Exchange Commission today announced that its Retail Strategy Task Force will host a roundtable on October 3[...]
Read ArticleSEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
July 18, 2019The Securities and Exchange Commission today announced that its Retail Strategy Task Force will host a roundtable on October 3[...]
Read ArticleFormer REIT Manager and Executives to Settle SEC Charges for more than $60 Million
July 16, 2019The Securities and Exchange Commission today charged AR Capital LLC, its founder Nicholas S. Schorsch, and its former CFO Brian[...]
Read ArticleSEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments
July 15, 2019The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the[...]
Read ArticleNomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges
July 15, 2019The Securities and Exchange Commission today instituted two related enforcement actions against Nomura Securities International Inc., which has agreed to[...]
Read ArticleSEC Charges Securities Lawyer and Microcap Agent with Fraud
July 12, 2019The Securities and Exchange Commission today charged an Arizona-based attorney and a Missouri-based agent of microcap shell companies with securities[...]
Read ArticleSEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR
July 12, 2019The Securities and Exchange Commission today announced that SEC staff have published a statement that encourages market participants to proactively[...]
Read ArticleSEC Monitoring Impact of Tropical Storm Barry on Capital Markets
July 12, 2019The Securities and Exchange Commission is closely monitoring the impact of Tropical Storm Barry on investors and capital markets. “If you[...]
Read ArticleSEC Investor Advisory Committee to Meet on July 25
July 11, 2019The Securities and Exchange Commission’s Investor Advisory Committee will hold a meeting on July 25. The meeting will begin at 9 a.m.[...]
Read ArticleSEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme
July 10, 2019The Securities and Exchange Commission today filed insider trading charges against an accountant and her friend, whom she illegally tipped[...]
Read ArticleCFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
July 09, 2019The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint[...]
Read ArticleCFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
July 09, 2019The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint[...]
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