The Securities and Exchange Commission today re-proposed rule amendments that would narrow the exemption from Section 15(b)(8) of the Securities Exchange Act, which requires any broker or dealer registered with the Commission to become a member of a… Full report at: Read More

SEC Charges Broker and Registered Representatives in Connection with Unsuitable Recommendations of Highly Complex Structured Securities Read the full report at Read More

The Securities and Exchange Commission today released a report to Congress, which summarizes policy recommendations made during the 41st Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… Full report at: Read More

SEC Charges Pharma Insider and Two Relatives with Insider Trading Read the full report at Read More

SEC Files Subpoena Enforcement Action Against GP Capital Group, Inc. and Its President, Shannon W. IIIingworth Read the full report at Read More

SEC Charges Microcap Issuer and Its CEO and Former Director for False Merger and Dividend Announcements Read the full report at Read More

SEC Charges Former Chief Petty Officer with Fraud in Investment Scheme That Targeted U.S. Navy Veterans and Sailors Read the full report at Read More

SEC Charges Former CFO and Coo with Falsifying Books and Records and Circumventing Internal Controls to Misappropriate Funds Read the full report at Read More

The Securities and Exchange Commission today separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s… Full report at: Read More

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Tuesday, Aug. 2, which will address liquidity challenges for investors in small and emerging businesses.… Full report at: Read More