The Securities and Exchange Commission has charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits.
The Securities and Exchange Commission has announced charges against the former director of internal audit at a Chicago-based health care information technology company for insider trading ahead of the release of its financial results and making more than a quarter-million dollars in illicit profits.
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today issued a risk alert on the due diligence processes that investment advisors use when they recommend or place clients’ assets in alternative investments such as hedge funds, private equity funds, or funds of private funds.
The Securities and Exchange Commission has announced that it has adopted amendments to eliminate references in certain of its rules and forms to credit ratings by nationally recognized statistical rating organizations (NRSROs).
U.S. self-regulatory organizations (SROs) for the equities and options markets, including FINRA, have been working with the Securities and Exchange Commission (SEC) staff on their collective plans to strengthen the resilience, performance, disaster recovery capability and governance of the critical infrastructure of the U.S. capital markets, including the Securities Information Processors (UTP, CTA and OPRA).
The Securities and Exchange Commission today charged RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, with misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering.
Imagine this: A regulator complaining about too much disclosure.
Knight Capital Americas will pay $12 million to settle charges it violated the SEC’s market access rule in connection with an August 2012 trading incident that disrupted the markets, the Commission announced today.
Two brothers in Brazil have agreed to pay nearly $5 million to settle charges that they were behind suspicious trading in call options for H.J. Heinz Company
The Securities and Exchange Commission has launched a new website to provide investors and others with the ability to interactively explore a range of new market metrics and access empirical research and analyses that further inform the broader public debate on market structure.