Division of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC

The Securities and Exchange Commission today announced that Mark Kronforst, Chief Accountant of the SEC’s Division of Corporation Finance, plans to leave the SEC in early January after 13 years of public service with the investor protection agency.

Mr…

More Than $16 Million Awarded to Two Whistleblowers

The Securities and Exchange Commission today announced awards of more than $8 million each to two whistleblowers whose critical information and continuing assistance helped the agency bring the successful underlying enforcement action.

With this case,…

SEC Ratifies Appointment of Administrative Law Judges

The Securities and Exchange Commission today announced that it has ratified its prior appointment of Chief Administrative Law Judge Brenda Murray and Administrative Law Judges Carol Fox Foelak, Cameron Elliot, James E. Grimes, and Jason S. Patil.

On N…

SEC Announces Agenda for December 7 Investor Advisory Committee Meeting

The Securities and Exchange Commission today announced the agenda for the December 7 meeting of its Investor Advisory Committee. The meeting will begin at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. an…

Long Island Town and Former Top Official Charged With Defrauding Municipal Investors

The Securities and Exchange Commission today charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s municipal securities offerings by hiding the existence and potential financial impact of side deals w…

SEC Names Paul G. Cellupica as Deputy Director of the Division of Investment Management

The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Deputy Director of the agency’s Division of Investment Management.

Mr. Cellupica will oversee a number of the division’s strategic, rulemaking, and industry e…

SEC Announces Agenda and Panelists for the 36th Annual Small Business Forum

The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business Capital Formation.

The November 30 event will begin at 9 a.m. Central Standard Time (10 a.m. Eastern Stan…

SEC Enforcement Division Issues Report on Priorities and FY 2017 Results

In its ongoing efforts to protect Main Street investors, the Securities and Exchange Commission’s Enforcement Division today issued a report highlighting its priorities for the coming year as well as a review of enforcement actions that took place duri…

SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee

The Securities and Exchange Commission today announced the formation and first members of its Fixed Income Market Structure Advisory Committee.

The committee, whose initial focus will be on the corporate bond and municipal securities markets, will p…

SEC Warns Investors About Paid-to-Click Scams

The Securities and Exchange Commission is warning investors to beware online “paid-to-click” scams that promise an easy payday by merely purchasing a membership or an advertising product up front and then clicking on a certain number of online ads each…

SEC Charges Biotech Company, Executives With Accounting Fraud

The Securities and Exchange Commission today charged a Maryland-based biotech company and four former top executives with prioritizing revenue growth over lawful accounting and misleading investors in the process.

The SEC alleges that Osiris Therapeut…

Charles Cain Named Chief of Foreign Corrupt Practices Unit

The Securities and Exchange Commission today announced that Charles E. Cain has been named chief of the Enforcement Division’s national specialized Foreign Corrupt Practices Act (FCPA) Unit that focuses on violations of the anti-bribery provisions of t…