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SEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News
December 19, 2013The Securities and Exchange Commission today charged a senior portfolio manager at Microsoft Corporation and his friend and business partner[...]
Read ArticleFederal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities
December 19, 2013JOINT RELEASE Board of Governors of the Federal Reserve System Consumer Financial Protection Bureau Federal Deposit Insurance Corporation National Credit[...]
Read ArticleSEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions
December 18, 2013The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global[...]
Read ArticleSEC Proposes Rules to Increase Access to Capital for Smaller Companies
December 18, 2013The Securities and Exchange Commission today voted to propose rules intended to increase access to capital for smaller companies. The[...]
Read ArticleSEC Announces Enforcement Results for FY 2013
December 17, 2013The Securities and Exchange Commission today announced that the agency’s enforcement actions in fiscal year 2013 resulted in a record[...]
Read ArticleSEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland
December 16, 2013The Securities and Exchange Commission today announced fraud charges against a company named with an acronym for “Make A Lot[...]
Read ArticleSEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers
December 13, 2013The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment[...]
Read ArticleSEC Charges Merrill Lynch With Misleading Investors in CDOs
December 12, 2013The Securities and Exchange Commission today charged Merrill Lynch with making faulty disclosures about collateral selection for two collateralized debt[...]
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