Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying… Full report at: Read More

SEC Obtains Partial Summary Judgment Against Microcap Issuer and Its CEO Read the full report at Read More

The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). The São Paulo-based company, also known as Gol Intelligent Airlines,… Full report at: Read More

SEC Charges Promoter and Companies with $4 Million Fraud Read the full report at Read More

SEC Charges Real Estate Investment Firm and Principal with $100 Million Offering Fraud Read the full report at Read More

SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering Read the full report at Read More

The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for… Full report at: Read More

The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The… Full report at: Read More

SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law Read the full report at Read More

SEC Charges South Florida Venture Capital Firm and Others with Acting as Unregistered Brokers and Selling $3 Million in Securities to Investors Read the full report at Read More