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

SEC Charges Former Investment Adviser with Stealing from Clients Read the full report at Read More

SEC Brings Settled Actions Charging Cherry-Picking and Compliance and Supervisory Failures Read the full report at Read More

The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms… Full report at: Read More

The Securities and Exchange Commission today charged VMware Inc. for misleading investors about its order backlog management practices, which enabled the Palo Alto, California-based technology company to push revenue into future quarters by delaying… Full report at: Read More

The Securities and Exchange Commission announced charges today against registered investment advisers Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. for including Hudson’s owner’s anticipated income tax liability as a component of certain… Full report at: Read More

Court Enters Judgments Against Investment Adviser and Its Principals for Defrauding Clients Through Their Mutual Fund Share Class Selection Practices Read the full report at Read More

The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance’s Disclosure Review Program (DRP). The DRP has long had offices to… Full report at: Read More