The Securities and Exchange Commission today adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to be filed or submitted electronically. The amendments also make… Full report at: Read More

The Office of Information and Regulatory Affairs today released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions. The report, which includes contributions related to the Securities and Exchange Commission, lists short- and long-term… Full report at: Read More

SEC Obtains Final Judgment Against Former Pharmacy Chain Employee Charged with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of… Full report at: Read More

Second Circuit Affirms Judgment for SEC in Layering, Manipulative Trading Case Read the full report at Read More

SEC Charges Former Texas City Official for Falsifying City’s Financial Documents Read the full report at Read More

The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –… Full report at: Read More

SEC Charges “Millionaire Maker” Author with Selling Securities in Unregistered Oil and Gas Offerings Read the full report at Read More

The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, information… Full report at: Read More

SEC Halts Fraudulent Real Estate-Related Investment Offerings Read the full report at Read More