The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing… Full report at: Read More

SEC Charges Massachusetts Resident with Conducting $2 Million Fraudulent Investment Offering Read the full report at Read More

SEC Announces Additional Charges in Scheme to Trade Ahead of Pharma Tender Offer Read the full report at Read More

The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information Officer of pharmaceutical company Viatris Inc., which was formerly known as Mylan N.V. The SEC’s complaint, filed in the… Full report at: Read More

The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information Officer of pharmaceutical company Viatris Inc., which was formerly known as Mylan N.V. The SEC’s complaint, filed in the… Full report at: Read More

SEC Seeks Special Master to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Mutual Fund Read the full report at Read More

Court Enters Final Judgment Against Connecticut Investment Adviser Charged with Stealing Client Funds Read the full report at Read More

SEC Granted Summary Judgment Against New Hampshire Issuer of Crypto Asset Securities for Registration Violations Read the full report at Read More

The Securities and Exchange Commission today announced that Chief of Staff Prashant Yerramalli will leave the agency, effective Dec. 31, 2022. Amanda Fischer, currently Senior Counselor to Chair Gary Gensler, will be appointed Chief of Staff, effective… Full report at: Read More

The Securities and Exchange Commission today named Keith E. Cassidy and Natasha Vij Greiner as Deputy Directors of the Division of Examinations. “Our examinations function plays an essential role as the eyes and ears on the ground for the Commission,”… Full report at: Read More