SEC Sues Fund Manager Christopher R. Bentley and Investment Adviser, Bellatorum Resources, LLC for Multi-Million Dollar…
Tag: US Securities and Exchange Commission
The US Securities and Exchange Commission (SEC) is a federal enforcement agency.
US Securities and Exchange Commission was created in 1929 after the stock market crash to enforce laws against market manipulation. The SEC enforces the Securities Exchange Act of 1933, Trust Indenture Act of 1939, Investment Advisors Act of 1940, Sarbanes-Oxley Act of 2002, and many other statutes. Section 4 of the Securities Exchange Act of 1934 helped create the agency.
Lori H. Price Named SEC Director of Office of Credit Ratings
Washington DC (STL.News) The Securities and Exchange Commission (SEC) Friday announced that Lori H. Price had…
SEC Obtains Final Judgments – Netflix Insider Trading Ring
SEC Obtains Final Judgments Against Defendants in Netflix Insider Trading Ring Securities and Exchange Commission v.…
UBS to Pay $25 Million to Settle SEC Fraud Charges
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy Washington,…
SEC Adopts Rules to Require Electronic Filing
SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers Rules and…
SEC Charges CohnReznick LLP and Three Partners
SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct The firm’s auditing deficiencies caused…
SEC seeks comments – Recovery of Erroneously Awarded Compensation
SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation Washington, DC (STL.News)…
SEC Investor Advisory Committee to Meet June 9
SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9 Washington, DC…
SEC Issues Nearly $3.5 Million Award to Four Whistleblowers
Washington, DC (STL.News) The Securities and Exchange Commission (SEC) announced a total award of nearly $3.5…
SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit
Washington, DC (STL.News) The Securities and Exchange Commission (SEC) today announced the allocation of 20 additional…
Comments Requested – Information Providers as Investment Advisors
SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers,…