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SEC.gov Updates: Press Releases (2012/5/18 5:21:21)

Squire, Sanders & Dempsey L.L.P. Publications Feed (2012/5/18 5:21:22)

SEC.gov Updates: What's New in the Division of Corporation Finance (2012/5/18 5:21:22)

NYSERegulation.com News Releases (2012/5/18 5:21:27)

Twitter updates from FINRA / FINRA_News. (2012/5/18 5:21:27)

Twitter updates from FINRA Education / FINRA_Education (2012/5/18 5:21:28)

SEC.gov Updates: Press Releases Last Update 2012/5/18 5:21:21

The latest press releases from the Securities and Exchange Commission

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James Burns Named Deputy Director in SEC's Division of Trading and Markets (2012/5/17 16:34:07)

FOR IMMEDIATE RELEASE 2012-96 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that James R. Burns will become a Deputy Director in the Division of Trading and Markets. Mr. Burns will oversee several of the D ...

Erica Williams Named SEC's Deputy Chief of Staff (2012/5/17 16:34:07)

FOR IMMEDIATE RELEASE 2012-97 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that Erica Williams will become the agency’s Deputy Chief of Staff. Ms. Williams has been a member of Chairman Schapiro’s sta ...

SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies (2012/5/17 15:37:02)

FOR IMMEDIATE RELEASE 2012-95 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a Seattle-based investment adviser and his firm with defrauding clients by secretly investing their money in two risky start-up com ...

SEC Charges New Jersey Man in Real Estate Investment Scam (2012/5/17 13:17:02)

FOR IMMEDIATE RELEASE 2012-94 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a New Jersey man with operating a Ponzi-like scheme involving a series of investment vehicles formed for the purported purpose of p ...

SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme (2012/5/16 16:00:12)

FOR IMMEDIATE RELEASE 2012-93 Washington, D.C., May 16, 2012 — The Securities and Exchange Commission today charged a Hawaii resident and two firms he used to orchestrate a scheme in which he covertly founded small companies, installed managem ...

SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family (2012/5/14 15:38:44)

FOR IMMEDIATE RELEASE 2012-92 Washington, D.C., May 14, 2012 – The Securities and Exchange Commission today charged a China-based natural gas company and an executive for defrauding investors by secretly loaning company funds to benefit his son an ...

SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams (2012/5/14 9:30:00)

FOR IMMEDIATE RELEASE 2012-91 Washington, D.C., May 14, 2012 — The Securities and Exchange Commission today suspended trading in the securities of 379 dormant companies before they could be hijacked by fraudsters and used to harm investors thr ...

SEC Charges Scotland-Based Firm for Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors (2012/5/10 9:08:24)

FOR IMMEDIATE RELEASE 2012-90 Washington, D.C., May 10, 2012 — The Securities and Exchange Commission today charged a Scotland-based fund management group for fraudulently using one of its U.S. fund clients to rescue another client, a China-fo ...

SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities (2012/5/9 15:47:30)

FOR IMMEDIATE RELEASE 2012-89 Washington, D.C., May 9, 2012 – The Securities and Exchange Commission today charged a Manhattan resident with carrying out a complex market manipulation scheme in biopharmaceutical stocks after he was kicked out of t ...

SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme (2012/5/9 12:23:39)

FOR IMMEDIATE RELEASE 2012-88 Washington, D.C., May 9, 2012 – The Securities and Exchange Commission today charged former Detroit mayor Kwame M. Kilpatrick, former city treasurer Jeffrey W. Beasley, and the investment adviser to the city’s publi ...

SEC Charges Deloitte and Touche in Shanghai with Violating U.S. Securities Laws in Refusal to Produce Documents (2012/5/9 11:33:24)

FOR IMMEDIATE RELEASE 2012-87 Washington, D.C., May 9, 2012 — The Securities and Exchange Commission today announced an enforcement action against Shanghai-based Deloitte Touche Tohmatsu CPA Ltd. for its refusal to provide the agency with audi ...

SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading (2012/5/8 11:56:47)

FOR IMMEDIATE RELEASE 2012-86 Washington, D.C., May 8, 2012 — The Securities and Exchange Commission today announced charges against a Hollywood movie producer along with his brother, cousin, and three others in his circle of friends and busin ...

SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme (2012/5/7 13:11:39)

FOR IMMEDIATE RELEASE 2012-84 Washington, D.C., May 7, 2012 — The Securities and Exchange Commission today charged a former paralegal at a Kalispell, Mont.-based semiconductor company and her father with insider trading on confidential informa ...

SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers (2012/5/3 17:00:35)

FOR IMMEDIATE RELEASE Washington, D.C., May 3, 2012 —The Securities and Exchange Commission today announced that it is re-opening the public comment period for proposed amendments to its net capital, customer protection, books and records, and ...

SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts (2012/5/2 10:06:00)

FOR IMMEDIATE RELEASE 2012-82 Washington, D.C., May 2, 2012 — The Securities and Exchange Commission today charged a Florida man and 10 cohorts involved in two separate schemes to illegally sell stock, including one that sought to capitalize o ...

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Latest Regulation FD and Securities Regulation News Feeds

James Burns Named Deputy Director in SEC's Division of Trading and Markets (2012/5/17)

FOR IMMEDIATE RELEASE 2012-96 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that James R. Burns will beco...

Erica Williams Named SEC's Deputy Chief of Staff (2012/5/17)

FOR IMMEDIATE RELEASE 2012-97 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today announced that Erica Williams will beco...

SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies (2012/5/17)

FOR IMMEDIATE RELEASE 2012-95 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a Seattle-based investment advi...

SEC Charges New Jersey Man in Real Estate Investment Scam (2012/5/17)

FOR IMMEDIATE RELEASE 2012-94 Washington, D.C., May 17, 2012 – The Securities and Exchange Commission today charged a New Jersey man with operating...

NYSE to Suspend Trading in Qiao Xing Mobile Communication Co. and Moves to Delist (2012/5/17)

SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme (2012/5/16)

FOR IMMEDIATE RELEASE 2012-93 Washington, D.C., May 16, 2012 — The Securities and Exchange Commission today charged a Hawaii resident and two f...

FINRA_News: FINRA Enhances BrokerCheck Capabilities - http://t.co/CwOPbIKX (2012/5/16)

FINRA_News: FINRA Enhances BrokerCheck Capabilities - http://t.co/CwOPbIKX

Proxy Fee Advisory Committee Proposes Recommendations on Proxy Distribution Fees (2012/5/16)

FINRA_Education: E-Learning: Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 – http://t.co/8AwnU0hB (2012/5/16)

FINRA_Education: E-Learning: Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 – http://t.co/8AwnU0hB

FINRA_News: FINRA Warns Investors of Nutraceutical Stock Scams - http://t.co/F7EEPqKh (2012/5/16)

FINRA_News: FINRA Warns Investors of Nutraceutical Stock Scams - http://t.co/F7EEPqKh

SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family (2012/5/14)

FOR IMMEDIATE RELEASE 2012-92 Washington, D.C., May 14, 2012 – The Securities and Exchange Commission today charged a China-based natural gas compa...

SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams (2012/5/14)

FOR IMMEDIATE RELEASE 2012-91 Washington, D.C., May 14, 2012 — The Securities and Exchange Commission today suspended trading in the securities...

Ignoring the Mandatory: Rule 11 Inquiries Under PSLRA (2012/5/13)

Instructions for Submitting Draft Registration Statements for Confidential/Non-public Review (2012/5/11)

Jumpstart Our Business Startups Act: Division update regarding submission of draft registration statements for confidential review under the JOBS Act and non-public review under the Division’s policy for certain foreign private issuers (2012/5/11)

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