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Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service
May 04, 2018The Securities and Exchange Commission today announced that Diane C. Blizzard, Associate Director of the agency’s Division of Investment Management,[...]
Read ArticleSEC Launches Additional Investor Protection Search Tool
May 02, 2018The Securities and Exchange Commission today announced the launch of an additional online search feature that enables investors to research[...]
Read ArticleSEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze
May 01, 2018The Securities and Exchange Commission today announced the unsealing of fraud charges against a Mississippi company and its principal who[...]
Read ArticleSEC Names Raquel Fox Director of the Office of International Affairs
May 01, 2018The Securities and Exchange Commission today announced that Raquel Fox will succeed Paul Leder as the Director of the Office[...]
Read ArticleSEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative
May 01, 2018The Securities and Exchange Commission’s Division of Enforcement today issued answers to frequently asked questions (FAQs) on the Share Class[...]
Read ArticleOffice of International Affairs Director Paul A. Leder to Leave SEC
April 30, 2018The Securities and Exchange Commission today announced that Paul A. Leder, Director of the Office of International Affairs (OIA), will[...]
Read ArticlePanasonic Charged With FCPA and Accounting Fraud Violations
April 30, 2018The Securities and Exchange Commission today announced that Japan-based Panasonic Corp. will pay more than $143 million to resolve charges[...]
Read ArticleEric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
April 25, 2018The Securities and Exchange Commission today announced that Eric R. Werner has been named the Associate Regional Director for Enforcement[...]
Read ArticleAltaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees To Pay $35 Million
April 24, 2018The Securities and Exchange Commission today announced that the entity formerly known as Yahoo! Inc. has agreed to pay a[...]
Read ArticleSEC Charges Additional Defendant in Fraudulent ICO Scheme
April 20, 2018The Securities and Exchange Commission today announced additional fraud charges stemming from an investigation of Centra Tech Inc.’s $32 million[...]
Read ArticleDouglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
April 20, 2018The Securities and Exchange Commission announced today that Douglas Scheidt, an Associate Director and the Chief Counsel in the Division[...]
Read ArticleSEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
April 18, 2018The Securities and Exchange Commission today voted to propose a package of rulemakings and interpretations designed to enhance the quality[...]
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