The SEC has announced a whistleblower award of more than $875,000 to be split evenly between two individuals who provided tips and assistance to help the agency bring an enforcement action.
The Securities and Exchange Commission has cautioned investors about the potential for fraud in microcap companies that claim their operations relate to the marijuana industry after the agency suspended trading in the fifth such company within the past two months.
Millions of hidden U.S. trades were revealed for the first time last December when a new SEC rule took effect. For the first time, odd-lot trades—those with fewer than 100 shares—appeared on the consolidated order book. That means information on those deals is available to everyone, not just investment banks and sophisticated traders.
The Securities and Exchange Commission has charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to bring a pair of China-based companies into the U.S. markets so they could manipulate trading and reap millions of dollars in illicit profits.
The SEC is charging the New York Stock Exchange and two affiliated exchanges for their failure to follow exchange rules and federal securities laws.
The Securities and Exchange Commission (SEC) has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping friends and relatives with confidential information about the pending deal so they could attain more than $300,000 in illegal profits.
SEC releases trade execution proposal to protect investors.
An SEC lawyer had harsh words for his employer during a farewell party earlier this week, reports Bloomberg.
An advisor gets a glowing online review. That happy client’s praise would make a great addition to her firm’s website. Can she post it?
The SEC has suffered several trial defeats recently.