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California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

The Securities and Exchange Commission today announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a mi...

Bank of America Admits Disclosure Failures to Settle SEC Charges

The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure...

Chief Information Officer Thomas Bayer to Leave SEC

The Securities and Exchange Commission today announced that its Chief Information Officer Thomas Bayer is planning to leave the agency in October. Mr. Bayer has led the SEC’s Office of Information Technology (OIT) since O...

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