The Securities and Exchange Commission today announced that
James R. Burns, Deputy Director in the Division of Trading and
Markets, will leave the agency in October.
Since 2012, Mr. Burns has overseen core regulatory func...
The Securities and Exchange Commission today charged a ring of
eight individuals for their roles in an alleged pump-and-dump
scheme involving a penny stock company based in California that has
repeatedly changed its name an...
The Securities and Exchange Commission today charged an
investment advisory firm located outside Tacoma, Wash., with
engaging in hundreds of principal transactions through its
affiliated broker-dealer without informing clie...