October 07, 2017

The Securities and Exchange Commission today announced that Robert Evans III has been named Chief of the Office of International Corporate Finance in the agency’s Division of Corporation Finance.  The…

October 05, 2017

Rule Change Expands Entry Opportunities to the Securities Industry WASHINGTON — The U.S. Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s rule pro…

October 05, 2017

The Securities and Exchange Commission today charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-…

October 03, 2017

Securities Regulators Around the World Are Shining a Spotlight on Investor Education and Protection WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced its participatio…

October 03, 2017

SEC Chairman Jay Clayton today provided an update on the status of the agency’s review and investigation of the 2016 intrusion into the EDGAR system.  In addition to updating previous disclosures, tod…

October 03, 2017

The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA), is leading efforts in the U.S. to raise…

October 03, 2017

The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have valuable patents.  One of those charged had been barred fro…

October 01, 2017

The Securities and Exchange Commission today charged a businessman and two companies with defrauding investors in a pair of so-called initial coin offerings (ICOs) purportedly backed by investments in…

September 29, 2017

A Massachusetts-based medical manufacturer has agreed to pay more than $13 million to settle charges that it committed accounting fraud through its subsidiaries to meet revenue targets and made improp…

September 29, 2017

The Securities and Exchange Commission today announced that Andrew M. Calamari, Director of the agency’s New York Regional Office, is planning to leave the agency in October after 17 years of service.…