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Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service
August 23, 2018The Securities and Exchange Commission today announced that Barry D. Miller, Associate Director of Disclosure Review and Accounting in the[...]
Read ArticleSEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience
August 22, 2018Securities and Exchange Commission Chairman Jay Clayton announced today that an additional investor roundtable to discuss the Commission’s recently proposed[...]
Read ArticleSEC Charges Former Online Marketing Company Executives With Inflating Operating Metrics
August 21, 2018The Securities and Exchange Commission today announced settled charges with two former top officers of Endurance International Group Holdings Inc.[...]
Read ArticleSEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme
August 20, 2018The Securities and Exchange Commission today charged the founder of San Francisco-based venture capital funds and his investment advisory firm with[...]
Read ArticleMerrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision
August 20, 2018The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith has agreed to pay approximately $8.9 million[...]
Read ArticleSEC Adopts Rule Amendments to Improve Municipal Securities Disclosure
August 20, 2018The Securities and Exchange Commission adopted amendments to enhance transparency in the municipal securities market. The adopted amendments to Rule[...]
Read ArticleSEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors
August 20, 2018The Securities and Exchange Commission today charged five individuals and four companies for unlawfully selling securities of Woodbridge Group of[...]
Read ArticleSEC Adopts Amendments to Simplify and Update Disclosure Requirements
August 17, 2018The Securities and Exchange Commission today announced that it has voted to adopt amendments to certain disclosure requirements that have become[...]
Read ArticleSEC Adopts Amendments to Simplify and Update Disclosure Requirements
August 17, 2018The Securities and Exchange Commission today announced that it has voted to adopt amendments to certain disclosure requirements that have become[...]
Read ArticleCitigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls
August 16, 2018The Securities and Exchange Commission today announced that Citigroup has agreed to pay $10.5 million in penalties to settle two[...]
Read ArticleSEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
August 15, 2018The Securities and Exchange Commission today announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that[...]
Read ArticleSEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes
August 14, 2018The Securities and Exchange Commission today charged two firms and 18 individuals in a scheme to improperly divert new issue municipal[...]
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