The Securities and Exchange Commission today announced that James M. Daly, Division of Corporation Finance Associate Director, will retire at the end of the month after more than 38 years of service at the SEC. As an Associate Director overseeing the… from Press Releases https://ift.tt/2Ndi3Uj via IFTTT
Category Archives: Breaking News
SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit Trail (the “CAT NMS Plan”). The proposed amendments to the CAT NMS Plan would require self-regulatory… from Press Releases https://ift.tt/2A7vVqA via IFTTT
Chandler Smith Costello Named Deputy Director for Public Affairs
The Securities and Exchange Commission today announced Chandler Smith Costello has been named Deputy Director for the Office of Public Affairs. Costello comes to the SEC from the Office of Senate Majority Whip John Thune where she served as his… from Press Releases https://ift.tt/2HUdUR0 via IFTTT
SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and pay $20 million in penalties to settle charges that it failed to implement… from Press Releases https://ift.tt/2zSYkko via IFTTT
SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
The Securities and Exchange Commission today announced that Monique C. Winkler has been named Associate Regional Director for enforcement in the San Francisco Regional Office. Ms. Winkler succeeds Erin E. Schneider, who became Regional Director of… from Press Releases https://ift.tt/2Zuoc5f via IFTTT
SEC Monitoring Impact of Hurricane Dorian on Capital Markets
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Dorian on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms,… from Press Releases https://ift.tt/32fBzmC via IFTTT
SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
The Securities and Exchange Commission today announced it has filed charges and obtained a consented-to asset freeze against San Diego-based ANI Development LLC, its principal, Gina Champion-Cain, and a relief defendant, for operating a multi-year $300… from Press Releases https://ift.tt/2ZoZGlT via IFTTT
SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players
The Securities and Exchange Commission today charged a Tallahassee-based investment adviser firm and its two former principals with defrauding investors, most of whom were retired NFL players who had joined a class-action lawsuit against the league… from Press Releases https://ift.tt/2zsE48L via IFTTT
SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
The Securities and Exchange Commission today charged Live Well Financial, Inc. and its CEO, Michael Hild, both of Richmond, Va., with perpetuating a multi-million dollar bond mismarking scheme against Live Well’s short-term lenders. The complaint… from Press Releases https://ift.tt/2ZtKPHa via IFTTT
SEC Awards More Than $1.8 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $1.8 million to a whistleblower whose information and assistance were critically important to the success of an enforcement action involving misconduct committed overseas.… from Press Releases https://ift.tt/2LghXIh via IFTTT
SEC Investigations 