November 17, 2016

The Securities and Exchange Commission today announced the agenda and panelists for the 35th Annual Government-Business Forum on Small Business Capital Formation. The November 17 event will begin a…

November 17, 2016

The Securities and Exchange Commission today voted to approve a national market system (NMS) plan to create a single, comprehensive database known as the consolidated audit trail (CAT) that will enabl…

November 15, 2016

Data Shows Many Borrowers Don’t Understand Loans They Obtain WASHINGTON — Nearly half of young Americans start their working lives with student debt, and 43 million Americans carry student loans. A…

November 15, 2016

The Securities and Exchange Commission today announced an award of more than $20 million to a whistleblower who promptly came forward with valuable information that enabled the SEC to move quickly and…

November 15, 2016

SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration.  Under Chair White’s leadership, the Commission…

November 12, 2016

WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has named a new Large-Firm Governor – Stephen M. Cutler, Vice Chairman of JPMorgan Chase & Co. – to its Board of Governors. Cutler …

November 12, 2016

The Securities and Exchange Commission today announced that an Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options over the internet, and the agency…

November 10, 2016

The Securities and Exchange Commission today charged a former movie producer and self-proclaimed private equity executive with defrauding investors in hedge funds and using the money he stole to suppo…

November 04, 2016

Five Firms Ordered to Pay More than $6 Million to Customers

November 04, 2016

The Securities and Exchange Commission today announced the appointment of Marc A. Panucci as a Deputy Chief Accountant in the Office of the Chief Accountant. As Deputy Chief Accountant, Mr. Panucci…