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…

Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service

The Securities and Exchange Commission today announced that Aaron Lipson, Associate Regional Director for enforcement matters in the Atlanta Regional Office, is leaving the agency this month after 14 years of service.

Mr. Lipson joined the SEC in 2004…

SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds

The Securities and Exchange Commission today adopted rules and amendments designed to promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, and similar covered investment funds. …

Two Celebrities Charged With Unlawfully Touting Coin Offerings

The Securities and Exchange Commission today announced settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled, known as DJ Khaled, for failing to disclose payments they received for promoting investments i…

Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service

The Securities and Exchange Commission today announced that Jina L. Choi, Director of the agency’s San Francisco Regional office, will leave the agency at the end of this month after more than 16 years of service. Under Ms. Choi’s leadership since 2013…

SEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme

The Securities and Exchange Commission today charged a self-described penny stock promoter and an entity he controlled with orchestrating a scheme to manipulate trading in at least 97 microcap stocks.

According to the SEC’s complaint, Eric Landis of C…

Kurt Gottschall Named Director of Denver Office

The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Regional Office.

Mr. Gottschall began working in the Division of Enforcement in the Denver office in 2000 as a staff attorney before b…

Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities

The Securities and Exchange Commission today announced settled charges against two companies that sold digital tokens in initial coin offerings (ICOs).  These are the Commission’s first cases imposing civil penalties solely for ICO securities offe…