Stephanie Avakian and Steven Peikin will oversee more than 1,200 investigators, accountants, attorneys, and other professionals
As a result, any claim for disgorgement in an SEC enforcement action must be commenced within five years of the date the claim accrued
Former MDC Partners CEO Miles Nadal agrees to pay US$5.5 million to settle charges
Veteran Wall Street lawyer Jay Clayton was formally sworn in as chairman of the U.S. Securities and Exchange Commission (SEC) on Thursday. Clayton was nominated to the post by U.S. President Donald Trump back in January and confirmed by Congress earlier this week. Clayton comes to the SEC from New York-based law firm Sullivan & […]
The SEC and FINRA will hold their national compliance outreach program on July 27
Employee reported “hard-to-detect” breaches of securities laws
The tipster informed the regulator of securities violations and helped the SEC in its subsequent investigation
The enforcement action is in connection with investment schemes that involved companies paying for deceptive, promotional articles touting their stocks
T+2 brings the cycle in line with other global markets
Investor advocate to hold summit