SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors. 

Th…

Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service

The Securities and Exchange Commission today announced that Jeffrey Minton, Office of the Chief Accountant (OCA)’s Chief Counsel, will be retiring from the agency next month after more than 20 years of service at the SEC, with over half of that time sp…

Executives Settle ICO Scam Charges

Two former executives behind an allegedly fraudulent initial coin offering (ICO) that was stopped by the Securities and Exchange Commission earlier this year have been ordered in federal court to pay nearly $2.7 million and prohibited from serving as o…

Three Developers Settle Charges of Fraudulent EB-5 Offering

The Securities and Exchange Commission today announced that three Houston-area developers have agreed to settle charges that they misused investor funds raised from 90 Chinese investors under the EB-5 Immigrant Investor Program on unrelated projects.

…

SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official

The Securities and Exchange Commission today announced that Danae M. Serrano has been named Acting Ethics Counsel and Designated Agency Ethics Official.

Ms. Serrano joined the SEC in 2010 as an Assistant Ethics Counsel, and has served as the Deputy Et…

SEC Charges The Hain Celestial Group with Internal Controls Failures

The Securities and Exchange Commission today announced settled charges against a natural and organic food company stemming from weaknesses in the company’s internal controls related to end-of-quarter sales practices that were designed to help the compa…

SEC Charges Agria Corporation and Executive Chairman With Fraud

A multinational agricultural company has agreed to pay $3 million to settle charges that it concealed substantial losses from investors through fraudulent accounting in connection with its divestiture of its primary operating entity.  In a re…

Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data

The Securities and Exchange Commission today announced that three broker-dealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate securities trading information in required SEC productions k…

SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum

The Securities and Exchange Commission today announced the agenda and panelists for the 2018 Government-Business Forum on Small Business Capital Formation.

The December 12 event will begin at 9 a.m. ET with opening remarks from the SEC Chairman and Co…

SEC Halts Alleged Insider Trading Ring Spanning Three Countries

The Securities and Exchange Commission has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working in the Singapore branch of an investment bank.

The SEC obt…

SEC Investor Advisory Committee to Meet on December 13

The Securities and Exchange Commission will hold a meeting of its Investor Advisory Committee on Dec. 13, 2018. The meeting will begin at 9 a.m. ET in the Multipurpose Room at SEC Headquarters at 100 F Street NE, Washington, D.C. and is …

Shira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service

The Securities and Exchange Commission today announced that Shira Pavis Minton, Ethics Counsel and Designated Agency Ethics Official, will be retiring from the agency this month after more than 20 years of federal service and nearly 10 years with the S…