SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements

The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18, 2019 to hear from investors, issuers, and other market participants about the impact of short-termism on our capital ma…

SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements

The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18, 2019 to hear from investors, issuers, and other market participants about the impact of short-termism on our capital ma…

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month

The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month and renewed the agency’s commitment to workplace diversity and inclusion.  

Throughout the mon…

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month

The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month and renewed the agency’s commitment to workplace diversity and inclusion.  

Throughout the mon…

SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest …

SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest …

State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses

The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to t…

State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses

The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to t…

SEC Charges New Defendant in $43 Million Tribal Bonds Scheme

The Securities and Exchange Commission today charged a Los Angeles man for his role in a fraudulent scheme to gain undisclosed control over two registered investment advisers so that he, his partner, and their associates could steal $43 million of clie…

Chairman Clayton Highlights New Members of Executive Staff

The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office.

Chairman Clayton’s executive staff is responsible for advising the C…

Chairman Clayton Highlights New Members of Executive Staff

The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office.

Chairman Clayton’s executive staff is responsible for advising the C…

SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs

The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Pandol will advise the Chairman, Commissioners, and SEC staff on legislativ…