August 6, 2020
Washington D.C., Aug. 5, 2020 — The Securities and Exchange Commission – SEC today proposed comprehensive modifications to the mutual fund and exchange-traded fund disclosure framework to better serve the …
August 6, 2020
Washington D.C., Aug. 5, 2020 — The Securities and Exchange Commission – SECtoday filed settled charges against affiliated registered investment advisers WBI Investments Inc. and Millington Securities Inc. for making …
August 6, 2020
Washington D.C., Aug. 5, 2020 — The Securities and Exchange Commission – SEC today published procedures setting forth a staff-led process to nominate candidates for appointment to the Investor Advisory …
August 5, 2020
Washington D.C., Aug. 4, 2020 — At today’s meeting of the Small Business Capital Formation Advisory Committee, the Securities and Exchange Commission – SEC announced the appointment of two new …
Continue reading “SEC Announces New Small Business Capital Formation Advisory Committee Members”
August 3, 2020
Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures
July 31, 2020
Washington D.C., July 30, 2020 — The Securities and Exchange Commission – SEC today announced charges against a San Antonio-area businessman and his company for running a multimillion-dollar fraudulent scheme …
July 30, 2020
Washington D.C., July 28, 2020 — The Securities and Exchange Commission – SEC today charged Houston-based VALIC Financial Advisors Inc. (VFA) in a pair of actions for failing to disclose …
July 29, 2020
Washington D.C., July 28, 2020 — The Securities and Exchange Commission today announced the creation of the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance Inspections …
July 29, 2020
Washington D.C., July 24, 2020 — The Securities and Exchange Commission today charged Trustify Inc., an online marketplace purportedly designed to connect customers to a network of private investigators, and …
Continue reading “SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud”
July 28, 2020
The proverbial sausage was being made by the Securities and Exchange Commission (SEC) last week. The SEC held one of its regular open meeting in which it considered two rules. …
Continue reading “The Proverbial Sausage was Being Made by the Securities and Exchange Commission”
