SEC Charges Christopher R. Bentley – Fraud

SEC Sues Fund Manager Christopher R. Bentley and Investment Adviser, Bellatorum Resources, LLC for Multi-Million Dollar…

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…

Comments Requested – Information Providers as Investment Advisors

SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers,…

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 v. Morningstar Credit Ratings, LLC

SEC Obtains Final Judgment Against Former Credit Rating Agency Charged with Disclosure and Internal Controls Failures…

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…