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SEC Sanctions Florida-Based Auditor for Circumventing Rules

The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly tra...

SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies

The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in illicit profits trading in the securities of two pharmaceutical companies that were ab...

Rengan Rajaratnam Agrees to Settle Insider Trading Charges

The Securities and Exchange Commission today announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than $840,000 and accept securities industry bars in order to settle the agency’s i...

Staff Letter (No-action request under Section 205(a)(1) of the Investment Advisers Act of 1940)

No-action request under Section 205(a)(1) of the Investment Advisers Act of 1940

Commission Proposes Two-Year Extension of Sunset Date for Advisers Act Rule 206(3)-3T

Commission Proposes Two-Year Extension of Sunset Date for Advisers Act Rule 206(3)-3T

Staff Letter (No-action relief under rule 206(4)-3 under the Investment Advisers Act of 1940)

No-action relief under section 206(4) of the Investment Advisers Act