Headline: SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs Headline: SEC Issues Largest-Ever Whistleblower Award Headline: SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations Headline: SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures Headline: Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges Headline: SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts Headline: SEC Charges 10 Microcap Companies with Securities Offering Registration Violations Headline: SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies Headline: Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policy Headline: SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud Headline: Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities ![]() Headline: Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric Headline: Small Business Advisory Committee June Meeting to Focus on Capital Raising and Reducing Funding Gaps for Underrepresented Founders Headline: SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao Headline: SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency Headline: SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected Headline: SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOs Headline: SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M Headline: SEC Unveils New Public Service Campaign Encouraging Older Investors to Never Stop Learning Headline: SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme Headline: Michele Layne, Director of Los Angeles Regional Office, to Leave SEC Headline: SEC Charges PIMCO for Disclosure and Policies and Procedures Failures SFC Akins and the AER Campaign staff was able to raise over $500,000 during the first half of this year and are hard at work ensuring that the Fort Campbell Community are well cared for, hats off to AER.Headline: SEC Secures Emergency Relief to Protect Binance.US Customers’ Assets Over $73 million was provided to 66,000 active components, National Guard and Reserve Soldiers, and their families worldwide in 2007 by AER.
0 Comments
Leave a Reply. |