December 16, 2017

The Securities and Exchange Commission today announced that Kenneth A. Johnson has been named the agency's Chief Operating Officer (COO). Mr. Johnson has served as Acting COO since February 2017. I…

December 14, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) and Georgetown University’s McDonough School of Business today announced a partnership to deliver the FINRA Institute at Georgetown Cer…

December 14, 2017

The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations, including the failure to properly report as …

December 14, 2017

The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown, Kathleen M. Hamm, James G. Kaiser, and Duane M. DesParte as Board membe…

December 14, 2017

The Securities and Exchange Commission today announced that Gary Barnett, Deputy Director in the Division of Trading and Markets, will retire from the agency at the end of the year. Since January 2…

December 12, 2017

A California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial coin offering (ICO) after being contacted by the Securit…

December 12, 2017

The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part of a ring that allegedly stole confidential informa…

December 10, 2017

In recognition of the importance of sound data security practices and protocols for sensitive, non-public information, the Securities and Exchange Commission today modified its approach to the pending…

December 08, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a Regulatory Notice requesting comment on changes to the expungement process.

December 08, 2017

The Securities and Exchange Commission today continued its crackdown on brokers who defraud customers, charging two New York-based brokers with making unsuitable trades that were costly for customers …