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5 Apr 2022, 10:30 am
The Securities and Exchange Commission today charged Melville ten Cate, a U.S. citizen residing abroad, with fraud stemming from his allegedly phony offer to purchase Textron – a large U.S. [read post]
1 Jun 2022, 1:25 pm
The Securities and Exchange Commission today announced eight new members to fill all vacancies on its Investor Advisory Committee. [read post]
30 Jun 2022, 1:30 pm
The Securities and Exchange Commission today announced fraud charges against Empires Consulting Corp. [read post]
16 Aug 2022, 1:35 pm
The Securities and Exchange Commission today charged Eagle Bancorp, Inc., based in Bethesda, Maryland, and its former Chief Executive Officer and Chairman of the Board, Ronald D. [read post]
14 Dec 2022, 11:04 am
The Securities and Exchange Commission today proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or “tick sizes,” for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations,…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2022, 9:31 am
The Securities and Exchange Commission today announced charges against Honeywell International Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Brazil and Algeria. [read post]
3 May 2023, 9:16 am
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [read post]
17 May 2023, 9:12 am
The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. [read post]
15 Sep 2022, 3:10 pm
The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). [read post]
24 Oct 2022, 8:35 am
The Securities and Exchange Commission today announced that Jason J. [read post]
SEC Charges Police Chief Four Others in Connection with Insider Trading Before Pharmaceutical Merger
29 Jun 2023, 8:16 am
The Securities and Exchange Commission today filed insider trading charges against five individuals, including a police chief in Dighton, Massachusetts, arising from trading before the announcement of a tender offer by Alexion Pharmaceuticals Inc. to…Read the Full Press Release Have a securities law question? [read post]
20 Sep 2022, 4:05 am
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately…Read the Full Press ReleaseHave a securities law question? [read post]
26 Oct 2022, 9:55 am
The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services and functions without conducting due diligence and…Read the Full Press ReleaseHave a securities law question? [read post]
7 Oct 2024, 7:02 am
The Securities and Exchange Commission today announced it will encourage investors to choose their information sources wisely during World Investor Week (WIW) 2024, which takes place Oct. 7-13. [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]
29 Nov 2023, 1:06 pm
The Securities and Exchange Commission today announced that Kate E. [read post]
20 Aug 2024, 10:05 am
The Securities and Exchange Commission today announced that it has approved two Public Company Accounting Oversight Board (PCAOB) proposals updating audit standards regarding general responsibilities of the auditor and use of technology-assisted analysis…Read the Full Press Release Have a securities law question? [read post]
2 Oct 2024, 11:35 am
The Securities and Exchange Commission today announced that Gurbir S. [read post]
23 Sep 2024, 12:15 pm
The Securities and Exchange Commission today announced charges against Texas-based registered investment adviser Atom Investors LP for its failure to maintain and preserve off-channel communications in violation of the recordkeeping provisions of the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Jan 2025, 8:55 am
The Securities and Exchange Commission today charged former Pennsylvania-based investment adviser Scott J. [read post]
