SEC Charges Alexion Pharmaceuticals With FCPA Violations

Washington DC (STL.News) The Securities and Exchange Commission today announced that Boston-based pharmaceutical company Alexion Pharmaceuticals…

SEC Awards 5 Stars to Waad Al Shamal Power Plant Project for Environment, Health & Safety Standards

Waad Al Shamal becomes one of the Saudi power plants under construction awarded a 5-star rating…

SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever”

Washington DC (STL.News) The Securities and Exchange Commission today released the program with agenda and speakers…

SEC Charges California Trader, Jason C. Nielsen Engaged in Trading Scheme Involving Covid-19 Claims

SEC Charges California Trader, Jason C. Nielsen Engaged in Manipulative Trading Scheme Involving Covid-19 Claims Washington,…

Private Equity Firm Ares Management LLC Charged With Compliance Failures

Washington DC (STL.News) The Securities and Exchange Commission today announced that Ares Management LLC, a Los…

SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses

Washington, DC (STL.News) The Securities and Exchange Commission today announced that it has voted to adopt…

SEC Staff to Host July 9 Roundtable on Emerging Markets

Washington DC (STL.News) The Securities and Exchange Commission today announced July 9 as the date for…

SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability

Washington, DC (STL.News) The Securities and Exchange Commission today voted to adopt amendments to the national…

SEC Orders Morningstar Credit Ratings yo Pay $3.5 Million for Conflicts of Interest Violations

US Securities and Exchange Commission Charges Morningstar Credit Ratings for Conflicts of Interest Violations Washington DC…

SEC Charges Penny Stock Company and Its CEO for Misleading Covid-19 Claims

SEC Charges Penny Stock Company, Turbo Global Partners, Inc and its CEO, Robert W. Singerman with…

SEC Charges Applied BioSciences, Turbo Global Partners, its CEO Robert W Singerman for Misleading COVID-19 Claims

SEC Charges Applied BioSciences, Turbo Global Partners, and its CEO Robert W Singerman for Misleading COVID-19…

SEC Chairman Jay Clayton Announces Additions to Executive Staff

Washington, DC (STL.News) The Securities and Exchange Commission today released an updated roster of the executive…

SEC Names John Moses Managing Executive in Chairman’s Office

Washington DC (STL.News) The Securities and Exchange Commission today announced that John Moses has been named…

SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations

Washington DC (STL.News) The Securities and Exchange Commission today filed settled charges against registered broker-dealer Bloomberg…

SEC Directs Equity Exchanges and Financial Industry Regulatory Authority

SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans…