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News |Regulatory |SEC | Aug 17 2017

SEC Bans Former ARCP Executive

The Securities and Exchange Commission has permanently barred former American Realty Capital Properties chief accounting officer Lisa McAlister from practicing as an accountant on…

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News |Regulatory |SEC | Aug 16 2017

SEC Levies $6.2 Million Fine Against KPMG Over Audit Failures

The Securities and Exchange Commission has charged auditing firm KPMG with failing to properly audit the financial statements of an oil and gas company, resulting in investors…

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News |Regulatory |SEC | Aug 07 2017

SEC Charges Oil and Gas Company CEO for Theft

The Securities and Exchange Commission is ordering a Texas-based oil and gas company and its CEO to pay $750,000 for misleading investors about amounts spent on commission payments…

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News |Regulatory |SEC | Aug 01 2017

SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees

The Securities and Exchange Commission has charged four former Atlanta-area brokers with fraudulently inducing federal employees to roll over holdings from their federal Thrift…

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News |Regulatory |SEC | Jul 31 2017

SEC Commissioner and Massachusetts Regulator at Odds Over DOL Fiduciary Rule Support

SEC Commissioner Michael Piwowar filed a public comment letter with the Department of Labor outlining his opposition to the fiduciary rule, a view which drew heavy criticism from…

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News |Regulatory |SEC | Jul 26 2017

SEC: Texas Company and its President Agree to Settle Oil and Gas Offering Fraud

A Texas company and its president have agreed to pay nearly $300,000 to settle charges by the Securities and Exchange Commission related to an oil-and-gas offering fraud. The SEC…

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News |Regulatory |SEC | Jul 13 2017

SEC Chair Hints at Fiduciary Rule Changes in First Speech

In his first speech as chairman of the Securities and Exchange Commission, Jay Clayton discussed the fiduciary rule at the Economic Club of New York on Wednesday, saying that…

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News |Regulatory |SEC | Jul 11 2017

SEC Charges Five Individuals in Oil Well Offering Fraud

The Securities and Exchange Commission has levied charges against a purported oil well company, its founders, and three salespeople in connection with a $2.4 million offering…

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News |Regulatory |SEC | Jul 05 2017

SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud

The Securities and Exchange Commission has charged Canadian-based oil and gas company, Penn West Petroleum Ltd, and three of its former top finance executives for their roles in an…

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News |Regulatory |SEC | Jun 09 2017

SEC Names New Enforcement Co-Directors

The Securities and Exchange Commission named acting director of the division of enforcement Stephanie Avakian and former federal prosecutor Steven Peikin as co-directors of the…

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News |Regulatory |SEC | Jun 06 2017

Supreme Court Rules on SEC Disgorgement Statute of Limitations

The U.S. Supreme Court unanimously voted to reverse a Tenth Circuit ruling and held that the 5-year statute of limitations applies to punitive disgorgement sanctions collected by…

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SEC Engages in DOL Fiduciary Rule Debate, Seeks Public Comment

The Securities and Exchange Commission is entering the fiduciary rule debate and seeking the public’s input on standards of conduct for investment advisers and broker-dealers when…

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News |Regulatory |SEC | May 24 2017

SEC Launches Investigation of Rich Uncles REIT

Rich Uncles NNN REIT, a publicly-registered crowdfunded real estate investment trust, disclosed that the Securities and Exchange Commission is investigating its advertising and…

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SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority are holding their National Compliance Outreach Program for Broker-Dealers on July 27 and will…

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News |Regulatory |SEC | May 03 2017

Senate Confirms Jay Clayton as SEC Chairman

The U.S. Senate confirmed Jay Clayton, President Donald Trump’s pick to lead the Securities and Exchange Commission, in a 60 to 36 vote on Tuesday. Clayton could be sworn in as SEC…

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News |Regulatory |SEC | Apr 26 2017

SEC Changes Review Process for Non-Traded REIT Sales Materials

The Securities and Exchange Commission has implemented changes to their review process of sales literature for non-traded REITs and other real estate programs, according to the…

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News |Company |Sponsors |Regulatory |SEC | Apr 18 2017

Supreme Court to Hear Financial Advisor’s Case Challenging Disgorgement Penalties Today

The U.S. Supreme Court will hear argument today in the case of financial advisor Charles Kokesh, which questions whether a 5-year statute of limitations applies to punitive…

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News |Regulatory |SEC | Apr 11 2017

SEC: Online Stock Analysts are Often on the Take

The Securities and Exchange Commission issued enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes where public companies hired…

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News |Regulatory |SEC | Apr 07 2017

FINRA Punishes Former Harvest Capital Broker for Unsuitable Non-Traded REIT Sales

The Financial Industry Regulatory Authority suspended a former Harvest Capital rep for one month for allegedly engaging in unsuitable non-traded REIT sales with three clients,...

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News |Regulatory |SEC | Apr 05 2017

Senate Panel Approves Trump Nominee as SEC Chairman

The U.S. Senate Banking Committee approved Jay Clayton’s nomination as the next chairman of the U.S. Securities and Exchange Commission in a 15 to 8 vote, mostly along party lines….

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