SEC Charges App Developer for Unregistered Security-Based Swap Transactions

Washington, DC (STL.News) The Securities and Exchange Commission today charged California-based Abra and a related firm…

T. Rowe Price Receives Approval For Active Exchange-Traded Funds

Four equity ETFs to make debut using long-standing strategic investing approach; funds will list on NYSE…

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 obtains judgement ordering Temenos Advisory, Inc. and CEO, George Taylor to pay over $2 million

Washington, DC (STL.News) The Securities and Exchange Commission announced today the entry of final judgments against…

Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges

Washington, DC (STL.News) The Securities and Exchange Commission announced today that it obtained court approval of…

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 Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud

Washington DC (STL.News) The Securities and Exchange Commission (SEC) today announced that it filed an emergency…

SEC Extends Relief for Virtual Meetings of Fund Boards

SEC continues to closely monitor the impact of COVID-19 on investors, funds, and investment advisers Washington…

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 Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct

SEC charges three KPMG audit partners, Timothy Daly, Michael Bellach and John Donovan in connection with…

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…