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Jim Burns, Deputy Director of Trading and Markets, to Leave SEC

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...

SEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company

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...

SEC Charges Tacoma, Wash.-Area Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements

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...

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