May 10, 2019
The Securities and Exchange Commission today announced settled insider trading charges against a Nevada man who obtained confidential information about a pending corporate merger from a lifelong friend and used it to generate more than $250,000 in illicit trading profits.
March 15, 2019
The Securities and Exchange Commission today announced charges against Lumber Liquidators Holdings Inc. for making fraudulent misstatements to investors. The charges stem from Lumber Liquidators’ false public statements in response to media allegations that the company was selling laminate flooring that contained levels of formaldehyde exceeding regulatory standards. Lumber Liquidators agreed to pay more than $6 million to settle the SEC action.
March 15, 2019
The Securities and Exchange Commission today announced that starting on April 16, 2019, the fee rate applicable to most securities transactions will be set at $20.70 per million dollars.
July 13, 2018
Several trading related bills made advances in their journey to become law. The House Financial Services Committee that the full house had advanced eight bills and eight bills also advanced …
May 25, 2018
If a new bill currently being debated by the House Financial Services Committee passes, a venture exchange may be a reality. The House Financial Services Committee sub-committee on Capital Markets, …
