SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha

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SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule

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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 …

SEC 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 …

Robert 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 …

SEC 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…

Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data

The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse of Facebook user data.  For more than two years, Facebook’s public disclosures presented the risk of mis…

Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets

The Securities and Exchange Commission today announced that Emily Westerberg Russell has been named Chief Counsel of the Division of Trading and Markets. 

Ms. Russell has been a member of the division’s Office of Chief Counsel for a decade, and since …

SEC Awards Half-Million Dollars to Overseas Whistleblower

The Securities and Exchange Commission today announced a half-million dollar award to an overseas whistleblower whose expeditious reporting helped the Commission bring a successful enforcement action. 

“The Commission’s whistleblower award program has…

SEC Charges Engine Manufacturing Company Executives With Accounting Fraud

The Securities and Exchange Commission today charged the former chief executive officer of a Chicago-area engine manufacturing company and two former senior sales executives for their roles in an accounting fraud that allegedly overstated the publicly-…

SEC Charges Engine Manufacturing Company Executives With Accounting Fraud

The Securities and Exchange Commission today charged the former chief executive officer of a Chicago-area engine manufacturing company and two former senior sales executives for their roles in an accounting fraud that allegedly overstated the publicly-…

SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors

The Securities and Exchange Commission today announced an emergency action charging two individuals with running a pump and dump scheme targeting retail investors. The SEC also obtained an emergency court order freezing the defendants’ assets.

Accordi…