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News: A Few Observations In The Private Fund Space By David W. Blass, Chief Counsel, Division Of Trading And Markets, U.S. Securities And Exchange Commission - American Bar Association, Trading And Markets Subcommittee, Washington, D.C., April 5, 2013

47 days ago - News Articles

The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees. The views expressed...

News: SEC Charges New York-Based Private Equity Fund Advisers With Misleading Investors About Valuation And Performance

72 days ago - News Articles

The Securities and Exchange Commission today charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance ...

News: SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance

72 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE 2013-38 Washington, D.C., March 11, 2013 — The Securities and Exchange Commission today charged two investment advisers at Oppenheimer & Co. wi...

News: SEC Charges Eli Lilly And Company With FCPA Violations

153 days ago - News Articles

The Securities and Exchange Commission today charged Eli Lilly and Company with violations of the Foreign Corrupt Practices Act (FCPA) for improper payments its subsidiaries...

News: SEC Charges Eli Lilly and Company with FCPA Violations

153 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE 2012-273 Washington, D.C., Dec. 20, 2012 — The Securities and Exchange Commission today charged Eli Lilly and Company with violations of the Foreig...

News: FINRA Fines Guggenheim Securities $800,000 For Failing To Supervise CDO Traders; Two Traders Sanctioned For Efforts To Hide Loss

223 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Guggenheim Securities, LLC of New York $800,000 for failing to supervise two collateraliz...

News: FINRA Joins Exchanges And The SEC In Fining Hold Brothers More Than $5.9 Million For Manipulative Trading, Anti-Money Laundering, And Other Violations

239 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA), along with NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and BATS Exchange, Inc. today announced that...

News: SEC Charges Chicago-Based Investment Firm With Misleading Investors In Private Equity Offerings

246 days ago - News Articles

The Securities and Exchange Commission today charged the co-founder of a Chicago-based investment firm with misleading investors in two private equity offerings, and charged...

News: SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings

246 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE 2012-191 Washington, D.C., Sept. 18, 2012 — The Securities and Exchange Commission today charged the co-founder of a Chicago-based investment firm ...

News: SEC Charges New York Stock Exchange for Improper Distribution Of Market Data - NYSE Agrees To Settle Charges By Paying First-Ever SEC Financial Penalty Against An Exchange

250 days ago - News Articles

Chart of Data Feeds Full-size (PDF)   The Securities and Exchange Commission today brought first-of-its-kind charges against the New York Stock Exchange for complia...