SEC Releases
SEC Wins Jury Trial Against Broker Charged with Insider Trading
SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors
SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme
SEC Charges Investment Banking Analyst with Insider Trading
SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K
SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5
SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha
SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule
SEC Chairman Clayton Announces Event for Main Street Investors in Chicago
Securities and Exchange Commission Chairman Jay Clayton today announced an event for Main Street investors to be held in Chicago on Thursday, August 15.
Chairman Clayton will participate in a roundtable with Main Street investors as part of the SEC’s …
Read MoreSEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud
The Securities and Exchange Commission today charged Brixmor Property Group Inc., a publicly-traded real estate investment trust, and four former senior executives with fraud in connection with a scheme to manipulate a key non-GAAP metric relied on by …
Read MoreRobert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service
The Securities and Exchange Commission today announced that Robert A. Cohen, Chief of the Division of Enforcement’s Cyber Unit, will be leaving the agency in August after 15 years of service.
Mr. Cohen is the first Chief of the Cyber Unit, created in …
Read MoreSEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee
The Securities and Exchange Commission today released the agenda for the July 29 meeting of the Fixed Income Market Structure Advisory Committee. The Commission established the advisory committee to provide a formal mechanism through which the Commis…
Read More