SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies

The Securities and Exchange Commission has voted to propose a new rule designed to enhance the regulation of the use of derivatives by registered investment […]

SEC Charges Trucking Executives With Accounting Fraud

The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an accounting fraud that inflated the company’s income and earnings per share.…

SEC Releases Report on 38th Annual Small Business Forum

The Securities and Exchange Commission today released a report on the 38th Annual Government-Business Forum on Small Business Capital Formation.  The Forum is a unique event attended by SEC Commissioners and staff in which members of the public and…

SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud

The Securities and Exchange Commission today charged brand-management company Iconix Brand Group Inc. and three of its former top executives with fraud. Iconix and two of its former executives have agreed to settle. The SEC’s litigation is…

SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee

The Securities and Exchange Commission today released the agenda for a Dec. 11 telephonic meeting of its Small Business Capital Formation Advisory Committee. The committee provides the Commission with advice and recommendations on Commission rules,…

SEC Names Paul Munter as Deputy Chief Accountant

The Securities and Exchange Commission today announced the appointment of Paul Munter as a Deputy Chief Accountant (International) in the agency’s Office of the Chief Accountant.

As Deputy Chief Accountant, Mr. Munter will lead the office’s…

SEC Names John Vanosdall as Deputy Chief Accountant

The Securities and Exchange Commission today announced the appointment of John Vanosdall as a Deputy Chief Accountant (Accounting Group) in the agency’s Office of the Chief Accountant.

As Deputy Chief Accountant, Mr. Vanosdall will lead the…

Kristina Littman Named Chief of the Cyber Unit

The Securities and Exchange Commission today announced that Kristina Littman has been named Chief of the Division of Enforcement’s Cyber Unit, a national, specialized unit that focuses on protecting investors and markets from cyber-related misconduct.……

Chief Administrative Law Judge Brenda Murray to Retire

The Securities and Exchange Commission today announced that Chief Administrative Law Judge Brenda Murray is retiring after 50 years of federal service, including 25 years as Chief ALJ of the SEC.

As the Chief Judge of the Office of Administrative…

SEC Halts Penny Stock Scheme Targeting Seniors

The Securities and Exchange Commission today announced that it has filed an emergency action and obtained an asset freeze against the operators of a South Florida-based investment scheme that defrauded over 100 retail investors, many of whom are…

SEC Revokes Registration of Adviser Engaged in $60 Million Fraud

The Securities and Exchange Commission today revoked the registration of New York-based investment adviser International Investment Group LLC (IIG), which the Commission recently charged with securities fraud for hiding losses in its flagship hedge fun…

SEC Revokes Registration of Adviser Engaged in $60 Million Fraud

The Securities and Exchange Commission today revoked the registration of New York-based investment adviser International Investment Group LLC (IIG), which the Commission recently charged with securities fraud for hiding losses in its flagship hedge fun…