SEC to Host Veterans Day Program for Active Duty Service Members and Veterans

The Securities and Exchange Commission will host a Veterans Day program on Tuesday, Nov. 12.

The program will feature a conversation with SEC Chairman Jay Clayton and Colonel James Tuite of the U.S. Army’s “Old Guard” that will focus on…

Natasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program

The Securities and Exchange Commission today announced that Natasha Vij Greiner has been named Associate Director in its Office of Compliance Inspections and Examination’s (OCIE) investment adviser and investment company examination…

SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud

The Securities and Exchange Commission’s New York Regional Office and Fordham University School of Law will host a conference on November 1 on combating community-based financial fraud.  The conference will focus on fraudulent and manipulative…

U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network

The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and the Securities and Exchange Commission (SEC) today announced joining the Global Financial Innovation…

SEC Investor Advisory Committee to Meet on Nov. 7

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin at 9:30 a.m. Eastern Time in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and…

SEC Proposes Amendments to Exemptive Applications Procedures

The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that are substantially identical to recent precedent, as we…

SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs

The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from 4 – 7 p.m. ET on Thursday, Oct. 24 during homecoming week. The special event,…

SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities

The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade…

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme

The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against 18 traders in a scheme to manipulate more than 3,000 U.S.-listed securities for over $31 million in illicit profits.

The SEC alleges that the…

SEC Promotes Teacher Investment Outreach

The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with its Teachers Initiative.  These initiatives include the launch of a podcast series for public school educators, nationwide…

Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs

The Securities and Exchange Commission today announced that Domenick Migliorato, a former supervisor of the securities lending desk at Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), has agreed to settle charges for his…

SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank

The Securities and Exchange Commission today announced that it took a significant step toward establishing the regulatory regime for security-based swap dealers by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Wall…