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SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements

As mandated by the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission has approved the issuance of proposed amendments to revise the rules related to the thresholds for registration, term...

SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors

The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculati...

SEC Names Deputy Directors in the Division of Trading and Markets

The Securities and Exchange Commission today announced that Gary Barnett and Gary Goldsholle have been named as deputy directors in the Division of Trading and Markets. “I am pleased to announce these additions to our sta...