SEC Responds to San Diego Investment Adviser Raymond Lucia’s Petition for Rehearing on Claim SEC In-House Courts are Unconstitutional

25 Oct 2016 on SEC Enforcement, Securities News

Chair of SEC Delivers Speech on Need for Greater Regulation of the U.S. Treasury Market

25 Oct 2016 on Securities News

SEC Refiles Fraud Complaint against Texas AG

24 Oct 2016 on SEC Enforcement, Securities News

Chinese Securities Regulator Announces IPO Investigations on Six Companies

24 Oct 2016 on SEC Enforcement, Securities News

Technology Company Agrees to $2.5 Million Fine with SEC over Accounting Violations

24 Oct 2016 on SEC Enforcement

SEC Charges Attorney with Using Board Access to Engage in Insider Trading

24 Oct 2016 on SEC Enforcement

DOJ Announces Insider Trading Charges against Former Tech Exec and Two Others

21 Oct 2016 on SEC Enforcement

SEC Announces Highs in Enforcement Actions for Fiscal 2016

18 Oct 2016 on SEC Enforcement

SEC Penalizes Deutsche Bank $9.5 Million for Failing to Safeguard Research Information

13 Oct 2016 on SEC Enforcement

CREDIT SUISSE AGREES TO PAY $90 MILLION PENALTY TO SEC

11 Oct 2016 on SEC Enforcement