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SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
June 26, 2019The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency's Office of[...]
Read ArticleSEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
June 26, 2019The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency's Office of[...]
Read ArticleSEC Names Bryan Wood as Deputy Chief of Staff
June 26, 2019The Securities and Exchange Commission today announced that Bryan Wood has been named the agency's Deputy Chief of Staff. Mr.[...]
Read ArticleSEC Names Sean Memon as Chief of Staff
June 26, 2019The Securities and Exchange Commission today announced that Sean Memon will become the agency’s Chief of Staff. Mr. Memon has[...]
Read ArticleSEC Chief of Staff Lucas Moskowitz to Leave the Agency
June 26, 2019The Securities and Exchange Commission today announced that SEC Chief of Staff Lucas Moskowitz will leave the agency in early[...]
Read ArticleSEC Names Vanessa Countryman to Lead the Office of the Secretary
June 24, 2019The Securities and Exchange Commission today announced that Vanessa Countryman has been appointed as the agency’s Secretary. The Secretary is[...]
Read ArticleJoint Statement on Opportunistic Strategies in the Credit Derivatives Market
June 24, 2019U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, U.S. Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo, and[...]
Read ArticleSEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
June 21, 2019The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by[...]
Read ArticleSEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
June 21, 2019The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by[...]
Read ArticleSEC Wins Jury Trial Against Broker Charged With Defrauding Customers
June 20, 2019Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a broker who[...]
Read ArticleSEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
June 20, 2019The SEC has charged Ability Inc., an Israel-based intelligence communications company, its wholly-owned subsidiary, and two of its top executives[...]
Read ArticleWalmart Charged With FCPA Violations
June 20, 2019The Securities and Exchange Commission today charged Walmart with violating the Foreign Corrupt Practices Act (FCPA) by failing to operate[...]
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