U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC announced that it has identified three additional individuals to charge in a penny stock manipulation case that was filed last year against alleged corrupt brokers and others.
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The SEC announced that a New York-based private equity firm and four executives will settle charges regarding a failure to disclose conflicts of interest.
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The U.S. Securities and Exchange Commission (SEC) announced that it has adopted final rules to permit companies to offer and sell securities through crowdfunding. The SEC also voted to propose...
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The SEC’s Enforcement Division alleges that the former co-head of equities trading at Rochdale Securities and a subordinate defrauded customers.
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The SEC has charged a Florida-based real estate developer and landowner with improperly accounting for the declining value of its residential real estate developments during the financial crisis.
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Wikimedia CommonsIn its Form 10-Q quarterly report filed with the U.S. Security and Exchange Commission (SEC) today, International Business Machines Corp. (NYSE: IBM) revealed that it had been...
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Marvell Technology is not a stock that most investors expect to see down almost 15% in just one trading session. Unfortunately, Tuesday was no normal trading session.
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The SEC charged credit rating agency DBRS with misrepresenting its surveillance methodology for ratings of certain complex financial instruments during a three-year period.
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The SEC has named Wenchi Hu and Christian Sabella as associate directors in the Division of Trading and Markets’ Office of Clearance and Settlement.
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Wikimedia CommonsThe U.S. Securities and Exchange Commission (SEC) announced that Michael Donnelly, the former president of Wilmington, Delaware-based Coastal Investment Advisors Inc. and its...
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The SEC has announced that two UBS advisory firms have agreed to settle charges stemming from their roles in failing to disclose a change in investment strategy by UBS Willow Fund.
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The SEC recently published a report that provides private fund industry statistics and trends, reflecting aggregated data reported by private fund advisers.
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The SEC announced that it had taken enforcement actions against six firms. This included over $2.5 million in monetary sanctions.
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The SEC announced that UBS has agreed to settle and pay $19.5 million for false or misleading statements and omissions in offering materials that UBS provided to U.S. investors.
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The SEC has charged Wolverine Trading and Wolverine Asset Management with failing to maintain and enforce policies and procedures to prevent the misuse of material nonpublic information.
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