September 08, 2016

The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for causing materially false and misleading disclosures about its valuation …

September 08, 2016

The Securities and Exchange Commission today announced that in fiscal year 2017 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $11…

September 08, 2016

The Securities and Exchange Commission today proposed rule and form amendments that would require registrants to include a hyperlink to exhibits in their filings. “The proposed changes should make …

September 08, 2016

The Securities and Exchange Commission today charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and other investors out of millions of dollars, muc…

September 08, 2016

The Securities and Exchange Commission today charged the CEO of a sexual health products retailer and a paid promoter with orchestrating fraudulent promotional campaigns to tout the company’s stock. …

September 08, 2016

The Securities and Exchange Commission today announced that Sarah G. ten Siethoff has been named Deputy Associate Director in the Division of Investment Management’s Rulemaking Office. As Deputy Assoc…