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Overseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case
March 24, 2017The Securities and Exchange Commission today announced that three Peruvian traders have agreed to settle a pending case alleging that[...]
Read ArticleSEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers
March 23, 2017The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program seminars for investment companies[...]
Read ArticleSEC Adopts T+2 Settlement Cycle for Securities Transactions
March 22, 2017The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for[...]
Read ArticleSEC, National Bank of Belgium Agree to Enhanced Cooperation and Information Sharing Regarding Euroclear
March 14, 2017The Securities and Exchange Commission today announced that it has entered into an arrangement with the National Bank of Belgium[...]
Read ArticleAuditor Charged With Insider Trading on Client’s Nonpublic Information
March 14, 2017The Securities and Exchange Commission today announced that an auditor based in the Silicon Valley has agreed to settle charges[...]
Read ArticleSEC FOIA Office Receives Award for Exceptional Service
March 13, 2017The Securities and Exchange Commission today announced that its Office of Freedom of Information Act (FOIA) Services was recognized by[...]
Read ArticleExecutives Charged With Manipulating Company’s Accounting Systems to Steal Money
March 10, 2017The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent[...]
Read ArticleSEC Charges Firms Involved in Layering, Manipulation Schemes
March 10, 2017The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]
Read ArticleExecutives Charged With Manipulating Company’s Accounting Systems to Steal Money
March 10, 2017The Securities and Exchange Commission today charged two former executives at a credit card processing company with masterminding a fraudulent[...]
Read ArticleSEC Charges Firms Involved in Layering, Manipulation Schemes
March 10, 2017The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets[...]
Read ArticleSEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues
March 09, 2017The Securities and Exchange Commission today charged a California-based company and its founder with falsely touting “record” revenue numbers to[...]
Read ArticleSEC Posts Notice of Availability of IFRS Taxonomy
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