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Fee Rate Advisory #3 for Fiscal Year 2017
May 31, 2017The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities[...]
Read ArticleSEC Files Charges in Trading Scheme Involving Confidential Government Information
May 24, 2017The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about[...]
Read ArticleSEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors
May 23, 2017The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) today announced a joint educational webinar to[...]
Read ArticleSEC Charges Fake Filer With Manipulating Fitbit Stock
May 19, 2017The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the[...]
Read ArticleDavid Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC
May 19, 2017The Securities and Exchange Commission today announced that David L. Peavler, Associate Director of Enforcement in the Fort Worth Regional[...]
Read ArticleSEC Names Robert B. Stebbins as General Counsel
May 15, 2017The Securities and Exchange Commission today announced that Robert B. Stebbins has been named General Counsel of the agency. The[...]
Read ArticleSEC Names Jaime Klima Chief Counsel
May 15, 2017The Securities and Exchange Commission today announced that Jaime Klima has been named Chief Counsel to Chairman Jay Clayton. As[...]
Read ArticleSEC Names Sean Memon Deputy Chief of Staff
May 15, 2017The Securities and Exchange Commission today announced that Sean Memon has been named the agency's deputy chief of staff. "Sean has proven to have[...]
Read ArticleSEC Charges Former Head Traders at Nomura With Fraud
May 15, 2017The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS)[...]
Read ArticleSEC Names Lucas Moskowitz Chief of Staff
May 11, 2017The Securities and Exchange Commission today announced that Lucas Moskowitz has been named the agency’s chief of staff. “Lucas’s diverse[...]
Read ArticleLaw Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
May 11, 2017The Securities and Exchange Commission today charged a former partner at an international law firm and his neighbor with making[...]
Read ArticleSEC Charges CEO With Failing to Disclose Perks to Shareholders
May 11, 2017Public companies must properly disclose perks, benefits, and other forms of compensation paid to CEOs and certain other highly compensated[...]
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