U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The U.S. Securities and Exchange Commission (SEC) recently announced enforcement actions against 14 municipal underwriting firms regarding violations in municipal bond offerings.
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SAP has agreed to give up more than $3 million in sales profits to settle charges that it violated the Foreign Corrupt Practices Act.
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Barclays Capital and Credit Suisse Securities (USA) have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark...
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The SEC announced on Friday that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have agreed to settle charges that they misled investors.
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Merus has amended its filing with the U.S. Securities and Exchange Commission (SEC) for its initial public offering (IPO).
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The SEC has announced that Ocwen Financial agreed to settle charges that it misstated financial results by using a flawed, undisclosed methodology to value its complex mortgage assets.
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The SEC has announced that a Denver-based fund manager has agreed to settle charges that the firm overcharged management fees and misled investors.
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The SEC has announced a whistle-blower award of over $700,000 to a company outsider who conducted a detailed analysis that led to a successful SEC enforcement action.
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The SEC has announced that Goldman Sachs agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations.
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The SEC has announced that State Street Bank and Trust has agreed to pay $12 million to settle charges in regards that it conducted a pay-to-play scheme.
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The SEC has announced fraud charges against 11 former executives and board members at Superior Bank, as well as its holding company.
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The SEC has announced that it approved interim final rules regarding the implementation of two provisions for the Fixing America’s Surface Transportation (FAST) Act.
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The SEC has announced that Julie M. Riewe, co-chief of the Enforcement Division’s Asset Management Unit, is planning to leave the agency next month.
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The U.S. Securities and Exchange Commission (SEC) has announced 2016 priorities of its Office of Compliance Inspections and Examinations (OCIE).
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The U.S. Securities and Exchange Commission (SEC) announced that hedge fund manager Steven A. Cohen will be prohibited from supervising funds that manage outside money until 2018 in order to settle...
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