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News: SEC Charges San Diego-Based Promoter In Penny Stock Scheme

yesterday - News Articles

The Securities and Exchange Commission today charged a penny stock promoter in the San Diego area for fraudulently arranging the purchase of $2.5 million worth of shares in a ...

News: SEC Charges San Diego-Based Promoter in Penny Stock Scheme

yesterday - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-114 Washington, D.C., June 18, 2013 — The Securities and Exchange Commission today charged a penny stock promoter in the San Diego area...

News: SEC Charges CBOE for Regulatory Failures

9 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-107 Washington, D.C., June 11, 2013 — The Securities and Exchange Commission today charged the Chicago Board Options Exchange (CBOE) an...

News: Extra-territorial Reach of Broker-Dealer Registration Requirements Under U.S. Securities Exchange Act of 1934: SEC Staff Addresses FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers

9 days ago - Emerald | Journal of Investment Compliance | Table of Contents

AbstractPurpose - To summarize the significant responses of the Staff of the SEC to 16 frequently asked questions (FAQs) which supplement prior guidance on Rule 15a-6 under th...

News: Extra-territorial Reach of Broker-Dealer Registration Requirements Under U.S. Securities Exchange Act of 1934: SEC Staff Addresses FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers

9 days ago - Emerald | Journal of Investment Compliance | Table of Contents

AbstractPurpose - To summarize the significant responses of the Staff of the SEC to 16 frequently asked questions (FAQs) which supplement prior guidance on Rule 15a-6 under th...

News: Remarks At The SEC Historical Society Annual Meeting By SEC Commissioner Elisse B. Walter

13 days ago - News Articles

Good afternoon, it's a pleasure to be with you today. I want to begin by saying "thank you" to President Bruce Bennett and Carla Rosati for their work helping the SEC Historic...

News: SEC Freezes Assets Of Thailand-Based Trader For Insider Trading Ahead Of Smithfield Foods Acquisition Announcement

14 days ago - News Articles

The Securities and Exchange Commission today announced an emergency court order to freeze the assets of a trader in Bangkok, Thailand, who made more than $3 million in profits...

News: SEC Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement

14 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-102 Washington, D.C., June 6, 2013 — The Securities and Exchange Commission today announced an emergency court order to freeze the asse...

News: SEC Charges Penny Stock Company And CEO for Illegal Stock Offering And Insider Trading

14 days ago - News Articles

The Securities and Exchange Commission today charged a microcap company that was ensnared in an SEC trading suspension proactively targeting questionable penny stocks, and als...

News: SEC Charges Penny Stock Company and CEO for Illegal Stock Offering and Insider Trading

14 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-100 Washington, D.C., June 5, 2013 — The Securities and Exchange Commission today charged a microcap company that was ensnared in an SE...