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Martha Miller Named Advocate for Small Business Capital Formation
December 21, 2018The Securities and Exchange Commission today announced that Martha Legg Miller has been named as the first Advocate for Small Business[...]
Read ArticleTwo Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations
December 21, 2018The Securities and Exchange Commission today announced settled charges against two New York-based investment advisers and the CEO of one[...]
Read ArticleSEC Charges Audit Firm and Suspends Accountants for Deficient Audits
December 21, 2018The Securities and Exchange Commission today filed settled charges against national audit firm Crowe LLP, two of its partners, and two[...]
Read ArticleSEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions
December 21, 2018Earlier this year, significant new rules relating to research became effective in the European Union (EU). In an effort to assist[...]
Read ArticleSEC Charges Two Robo-Advisers With False Disclosures
December 21, 2018The Securities and Exchange Commission today instituted settled proceedings against two robo-advisers for making false statements about investment products and[...]
Read ArticleSEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
December 20, 2018The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today announced its 2019 examination priorities. OCIE publishes its[...]
Read ArticleSEC Adopts Transaction Fee Pilot for NMS Stocks
December 19, 2018The Securities and Exchange Commission today announced that it has voted to adopt new Rule 610T of Regulation NMS to[...]
Read ArticleSEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A
December 19, 2018The Securities and Exchange Commission adopted final rules to allow reporting companies to rely on the Regulation A exemption from[...]
Read ArticleSEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
December 19, 2018The Securities and Exchange Commission today announced charges against an additional 13 individuals and 10 companies for unlawfully selling securities[...]
Read ArticleSEC Proposes Rule Changes for Fund of Funds Arrangements
December 19, 2018The Securities and Exchange Commission today voted to propose a new rule and related amendments designed to streamline and enhance[...]
Read ArticleSEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps
December 19, 2018The Securities and Exchange Commission today voted to propose rules requiring the application of risk mitigation techniques to portfolios of[...]
Read ArticleSEC Adopts Rule of Practice 194
December 19, 2018The Securities and Exchange Commission today announced that it has voted to adopt Rule of Practice 194. In general, this[...]
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