November 25, 2016

The Securities and Exchange Commission today announced the agenda for its Equity Market Structure Advisory Committee meeting on Nov. 29, beginning at 9:30 a.m. ET.  The Commission established the advi…

November 23, 2016

The Securities and Exchange Commission today announced the agenda for the December 8 meeting of its Investor Advisory Commitee. The meeting will commence at 9:30 a.m. in the Multipurpose Room at SEC h…

November 23, 2016

The Securities and Exchange Commission today announced that Matthew C. Solomon, the Chief Litigation Counsel for the SEC’s Enforcement Division, will leave the agency early next month. Mr. Solomon …

November 23, 2016

The Securities and Exchange Commission today announced that Stephen Luparello, Director of the Division of Trading and Markets, will leave the agency by the first of the year.  He was named director o…

November 23, 2016

The Securities and Exchange Commission today announced that Chief Accountant James Schnurr intends to retire from the agency. Mr. Schnurr began his tenure as the SEC’s chief accountant in October 2014…

November 23, 2016

The Securities and Exchange Commission today announced that Wesley R. Bricker will become the Chief Accountant and succeeds James Schnurr who plans to retire from the agency. Mr. Bricker has served…

November 19, 2016

$1.85 Million Paid to Customers WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1.575 million and ordered the firm to …

November 19, 2016

FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities

November 19, 2016

The Securities and Exchange Commission today announced that JPMorgan Chase & Co. has agreed to pay more than $130 million to settle SEC charges that it won business from clients and corruptly influenc…

November 19, 2016

The Securities and Exchange Commission today filed fraud charges against four individuals and others who allegedly profited by defrauding investors in a cash-strapped California-based renewable energy…