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30 May 2023, 2:05 pm
The Securities and Exchange Commission today announced its settlement with the former head of Wells Fargo & Co. [read post]
2 Jun 2023, 1:35 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, June 14. [read post]
27 Sep 2024, 10:05 am
The Securities and Exchange Commission today announced that Richard R. [read post]
SEC Charges Express, Inc. with Failing to Disclose Nearly $1 Million in Perks Provided to Former CEO
17 Dec 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against Ohio-based Express, Inc., a multi-brand American fashion retailer, for failing to disclose executive compensation it paid to its now former CEO. [read post]
15 Oct 2010, 11:10 am
The Securities and Exchange Commission (SEC) issued a proposal this week to require issuers of asset-backed securities to perform a review of the assets underlying the relevant securities and publicly disclose the review's findings and conclusions. [read post]
27 Jun 2024, 8:25 am
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives for fiscal year 2025. [read post]
9 Sep 2024, 6:10 am
The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential…Read the Full Press Release Have a securities law question? [read post]
16 Feb 2023, 1:55 pm
The Securities and Exchange Commission today announced that The Options Clearing Corporation (OCC) will undertake remedial efforts and pay $17 million in penalties to settle charges that it failed to comply with its SEC-approved Stress Testing and…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jun 2023, 2:35 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 22 at 10:00 a.m. [read post]
21 Aug 2023, 7:05 am
The Securities and Exchange Commission today announced charges against Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. [read post]
16 Nov 2023, 10:12 am
The Securities and Exchange Commission has adopted new rules to improve the governance of all registered clearing agencies by reducing the likelihood that conflicts of interest may influence their boards of directors or equivalent governing bodies. [read post]
3 Sep 2024, 12:30 pm
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in…Read the Full Press Release Have a securities law question? [read post]
13 Dec 2024, 8:20 am
The Securities and Exchange Commission today announced that Erik Gerding, Director of the Division of Corporation Finance, will depart the agency effective Dec. 31, 2024. [read post]
31 Jul 2024, 2:25 pm
The Securities and Exchange Commission today charged Abraham Shafi, the founder and former CEO of Get Together Inc., a privately held social media startup known as “IRL,” with defrauding investors by making false and misleading statements about the…Read the Full Press Release Have a securities law question? [read post]
14 Jan 2025, 11:05 am
The Securities and Exchange Commission today announced that Chief Accountant Paul Munter plans to retire from federal service effective Jan. 24, 2025. [read post]
27 Aug 2024, 9:50 am
The Securities and Exchange Commission today announced that Austal USA, LLC, a Mobile, Alabama-based shipbuilder, and its Australia-based parent company, Austal Limited, have agreed to settle the SEC’s charges that the companies conducted a fraudulent…Read the Full Press Release Have a securities law question? [read post]
27 Sep 2022, 6:05 am
The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United…Read the Full Press ReleaseHave a securities law question? [read post]
5 Sep 2023, 11:17 am
The Securities and Exchange Commission today announced charges against five investment advisers for failing to comply with requirements related to the safekeeping of client assets. [read post]
12 Jul 2023, 9:22 am
The Securities and Exchange Commission today proposed amendments to Rule 15c3-3 (the Customer Protection Rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and…Read the Full Press Release Have a securities law question? [read post]
2 May 2022, 9:50 am
The Securities and Exchange Commission today announced fraud charges against Synergy Settlement Services, Inc., CEO Jason D. [read post]
