SEC News
SEC Charges Pennsylvania’s Harrisburg With Fraud
Federal regulators on Monday accused Pennsylvania's beleaguered capital, Harrisburg, of committing fraud, in a move that officials said is meant to send a warning to local officials about the ...
Judge Won’t Block SEC Use Of Recording Against Goldman’s Tourre
Three years after Fabrice Tourre became the face of a major U.S. regulatory action against Goldman Sachs Group Inc., a newly uncovered phone recording is giving the Securities and Exchange Commission ...SEC Says Man Used JOBS Act To Lure Investors Into Fraud Scheme
The Securities and Exchange Commission on Thursday filed charges against a man accused of luring investors into a fraudulent investment scheme by promising big returns under a provision of the 2012 ...
Are Class Actions Looming After Twitter Hoax?
A securities lawyer appearing on CNBC on Thursday, two days after the financial markets were shaken by a Twitter hoax, suggested that liability lawsuits—and even class actions—are now in the ...U.S. SEC Looks To Ease Rules For Launching ETFs
The U.S. Securities and Exchange Commission may revive a proposal that would make it easier and cheaper to launch certain kinds of exchange-traded funds, according to interviews with SEC staff. Amid ...SEC’s Aguilar Urges End To Mandatory Arbitration Deals By Brokerages
A top U.S. securities regulator on Tuesday urged the government to consider adopting new rules that would prohibit or restrict brokerages and advisers from forcing customers to sign away their right ...