SEC Charges New York Grocery Supermarket Chain and CEO for Financial Fraud Read the full report at Read More

The Securities and Exchange Commission today announced eight new members to fill all vacancies on its Investor Advisory Committee. The new members join 15 current committee members. The committee, established under the Dodd-Frank Wall Street Reform… Full report at: Read More

The Securities and Exchange Commission’s Office of Investor Education and Advocacy today unveiled a game show-themed public service campaign to help investors make informed investment decisions and avoid fraud. Recognizing that sometimes… Full report at: Read More

The Securities and Exchange Commission today charged New York-based SCWorx Corp. and its former Chief Executive Officer and Chairman of the Board, Marc S. Schessel, with making false and misleading statements about SCWorx’s plans to distribute COVID-19… Full report at: Read More

SEC Charges Former North Carolina Investment Adviser and Public Company CEO with Fraudulent Self-Dealing Read the full report at Read More

SEC Charges Former Astrazeneca Employee with Insider Trading Read the full report at Read More

SEC Charges Investment Adviser and Its Principals with Fraud Read the full report at Read More

The Securities and Exchange Commission today announced that Investor Advocate Rick A. Fleming will depart the agency after more than eight years of service. Mr. Fleming was appointed in February 2014 to be the first director of the Office of the Investor… Full report at: Read More

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social, and governance… Full report at: Read More

The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that have developed in the approximately 20 years since the… Full report at: Read More