All Securities and Exchange Commission articles – Page 65
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SEC charges Penn West Petroleum with accounting fraud
The Securities and Exchange Commission has charged a Canadian-based oil and gas company and three of its former top finance executives for their roles in an extensive, multi-year accounting fraud.
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SEC extends non-public, pre-IPO filings to all companies
The SEC will expand a benefit offered to emerging growth companies and permit all companies to submit draft registration statements relating to initial public offerings for review on a non-public basis.
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SEC ponders public comments as fiduciary rule takes root with overseers
While the Labor Department and SEC are headed for a showdown over a fiduciary duty rule, another player has entered the mix: the CFP Board.
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Frustrated CFTC Commissioner steps down, other agencies staff up
The CFTC is losing a long-time member after Sharon Bowen publicly aired her frustrations. Meanwhile, a familiar face is fueling rumors about President Trump’s next SEC nomination.
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ArticleThe balancing act of Wall Street and Main Street
While deregulation advocates do battle with investor activists, there may be ideological balance in capital formation ideas.
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SEC charges brokerage firm with AML failures
The SEC has charged a Utah-based brokerage because it "routinely and systematically failed to file Suspicious Activity reports for stock transactions that it flagged as suspicious."
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SEC names co-directors for Enforcement Division
The SEC has announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named co-directors of the Enforcement Division.
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SEC initiates comment period on fiduciary rule
Critics of the Department of Labor’s controversial “fiduciary rule” say it should instead be promulgated by the SEC. Now, for the first time in years, the Commission has launched a public comment process on the matter.
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Understanding the inner workings of FCPA enforcement
At Compliance Week 2017, former SEC FCPA Chief Kara Brockmeyer spoke candidly about the future of FCPA enforcement, cooperation credit, third-party risk mitigation, and more.
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SEC: Trading scheme involved confidential government information
The Securities and Exchange Commission has announced alleged insider-trading charges in a plot that used non-public government information to affect the value of publicly traded medical stocks.
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SEC flexes muscles against man who faked Fitbit news
The SEC has announced fraud charges against a Virginia man who profited from a scheme to manipulate the price of Fitbit stock by using a phony regulatory filing.
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ArticleWith a new chairman, SEC readies its focus on IPOs, capital formation
Expect a focus on capital formation and improving the stagnant marketplace for public offerings under new SEC Chairman Jay Clayton.
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Obama’s ‘fiduciary duty’ rule may be living on borrowed time
Free-market advocates are gaining traction to overturn the Obama administration’s rule that places additional responsibilities upon financial services representatives.
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SEC charges CEO with failing to disclose perks to shareholders
A former CEO will pay $5.5 million to settle SEC allegations that perks, benefits, and other forms of compensation were not properly disclosed to shareholders.
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SEC's new chairman fills key posts
Jay Clayton, the recently confirmed chairman of the SEC, has named his new chief off staff and a new director of the Division of Corporation Finance.
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Dems call on SEC, CFTC to investigate top Trump advisor
Senate Democrats are asking the CFTC, SEC, and EPA to investigate Carl Icahn, a top adviser to President Trump, for potential insider trading and market manipulation.
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ArticlePeter Driscoll: The risk detective
Under Peter Driscoll’s lead, the SEC Office of Compliance Inspections and Examinations uses a risk-based approach to fulfill its mission to promote compliance with U.S. securities laws.
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Clayton confirmed as SEC chairman
On May 2, the Senate confirmed President Donald J. Trump’s nomination of Jay Clayton as chairman of the SEC. Clayton, previously a partner with the law firm Sullivan & Cromwell, has a reputation as a master of corporate deal making.
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SEC awards $500K to whistleblower
The SEC today awarded a whistleblower more than $500,000 for reporting information that prompted an investigation into misconduct that resulted in an enforcement action. It is the second whistleblower award announced by the SEC in the past week.
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Newmont Mining FCPA probe ends in SEC declination
Gold mining company Newmont Mining said this week in a securities filing that the Securities and Exchange Commission does not plan to bring an enforcement action in connection with a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.