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SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
June 18, 2019The Securities and Exchange Commission today requested public comment on ways to simplify, harmonize, and improve the exempt offering framework[...]
Read ArticleSEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
June 18, 2019The Securities and Exchange Commission today requested public comment on ways to simplify, harmonize, and improve the exempt offering framework[...]
Read ArticleSEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
June 17, 2019The Securities and Exchange Commission today announced that Adam B. Glazer has been named Senior Advisor to the Director of[...]
Read ArticleKPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
June 17, 2019The Securities and Exchange Commission today charged KPMG LLP with altering past audit work after receiving stolen information about inspections[...]
Read ArticleIndustrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
June 14, 2019The Securities and Exchange Commission today announced that Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), a wholly-owned[...]
Read ArticleSEC Announces 2019 Government-Business Forum to Be Held in Omaha
June 12, 2019The Securities and Exchange Commission today announced that it will host the 38th annual Government-Business Forum on August 14, 2019,[...]
Read ArticleSEC Updates List of Firms Using Inaccurate Information to Solicit Investors
June 10, 2019The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to[...]
Read ArticleSEC Updates List of Firms Using Inaccurate Information to Solicit Investors
June 10, 2019The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to[...]
Read ArticleDavid Peavler Named Director of Fort Worth Office
June 06, 2019The Securities and Exchange Commission today announced that David L. Peavler has been named Director of the Fort Worth Regional[...]
Read ArticleSEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
June 05, 2019The Securities and Exchange Commission today filed a new fraud action against Longfin Corp. and its CEO for falsifying the company’s[...]
Read ArticleSEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
June 05, 2019The Securities and Exchange Commission today voted to adopt a package of rulemakings and interpretations designed to enhance the quality[...]
Read ArticleMarshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
June 04, 2019The Securities and Exchange Commission today announced that Marshall Gandy has been named Co-National Associate Director of the Investment Adviser/Investment[...]
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