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SEC Announces Agenda for Sept. 13 Investor Advisory Committee Meeting
August 24, 2018The Securities and Exchange Commission today announced the agenda for the Sept. 13 meeting of its Investor Advisory Committee (IAC). The meeting will begin at[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2019
August 24, 2018The Securities and Exchange Commission today announced that in fiscal year 2019 the fees that public companies and other issuers pay[...]
Read ArticleSEC Names Matthew S. Jacques as Chief Accountant in Enforcement Division
August 23, 2018The Securities and Exchange Commission today announced that Matthew S. Jacques has been named the new chief accountant in the[...]
Read ArticleBarry 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[...]
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