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U.S. Securities and Exchange Commission

SEC Probes Threat From Cyber

SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

30/05/2014(0)
The U.S. Securities and Exchange Commission has announced fraud charges and an asset freeze against a Chicago-based investment fund manager accused of stealing money he raised from investors to ... Read More
regulatory_compliance

EU Market Rules, Logitech Probe, Finra Fines: Compliance

23/05/2014(0)
Europe’s capital markets are getting a new foundation. The 28-nation European Union’s top markets regulator yesterday made public more than 800 pages of proposed rules that cover everything from ... Read More
SEC-Insider-Trading

SEC’s Insider-Trading Case Against Obus Revived on Appeal

20/05/2014(0)
Wynnefield Capital Inc.’s Nelson Obus traded on confidential information to make $1.3 million for his hedge fund and confessed to it twice, a lawyer for the U.S. Securities and ... Read More
money

SEC Warns Investors About Marijuana-Related Investments

19/05/2014(0)
The U.S. Securities and Exchange Commission cautioned investors about the potential for fraud in microcap companies that claim their operations relate to the marijuana industry after the agency suspended ... Read More
U.S. Congress in Washingto

SEC Charges Unregistered Securities Salesman

16/05/2014(0)
The U.S. Securities and Exchange Commission has charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a ... Read More
technical-analysis

SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition

13/05/2014(0)
The U.S. Securities and Exchange Commission has charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead of a major acquisition announcement. The SEC alleges ... Read More
TAX-REFORM-US

SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm

08/05/2014(0)
The U.S. Securities and Exchange Commission has announced fraud charges and an asset freeze against a New York-based investment advisory firm and two executives for distributing falsified performance results ... Read More
SEC Probes Threat From Cyber

SEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies

06/05/2014(0)
The U.S. Securities and Exchange Commission (SEC), charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to bring a pair of China-based companies into the ... Read More
business

Portions of conflict minerals rule stayed by SEC

05/05/2014(0)
Companies will not have to explicitly declare whether their products contain minerals that originated in mines in the Democratic Republic of Congo or its neighboring countries, according to the ... Read More

Northern Trust Reports SEC Subpoena on Securities Lending

29/04/2014(0)
Northern Trust Corp. (NTRS), the third-biggest independent custody bank, said it received a subpoena from the U.S. Securities and Exchange Commission in April related to the company’s securities lending. ... Read More
Broker Cyprus TopFX