News

News Feed

• SEC Names Vanessa Countryman to Lead the Office of the Secretary
  on June 24, 2019 at 3:55 pm
• Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
  on June 24, 2019 at 3:00 pm
• SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
  on June 21, 2019 at 2:31 pm
• SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
  on June 20, 2019 at 10:00 pm
• SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
  on June 20, 2019 at 7:00 pm
• Walmart Charged With FCPA Violations
  on June 20, 2019 at 5:30 pm
• SEC Freezes Assets in International Manipulative Trading Scheme
  on June 20, 2019 at 3:30 pm
• SEC Chairman Clayton Announces Events for Main Street Investors in Boston
  on June 19, 2019 at 9:15 pm
• Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
  on June 18, 2019 at 5:30 pm
• SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
  on June 18, 2019 at 5:04 pm
• SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
  on June 18, 2019 at 4:05 pm
• SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
  on June 17, 2019 at 7:13 pm
• KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
  on June 17, 2019 at 1:50 pm
• Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
  on June 14, 2019 at 3:55 pm
• SEC Announces 2019 Government-Business Forum to Be Held in Omaha
  on June 12, 2019 at 5:30 pm
• SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
  on June 10, 2019 at 6:35 pm
• David Peavler Named Director of Fort Worth Office
  on June 6, 2019 at 8:30 pm
• SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
  on June 5, 2019 at 7:50 pm
• SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
  on June 5, 2019 at 4:20 pm
• Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
  on June 4, 2019 at 6:30 pm

Articles