• THIS COMPANY
  • THIS COMPANY
  • THIS COMPANY

SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients

The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and investment a...

SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price

The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and misleading press releases while secretly selling thousands of their own stock sh...

SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale

The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with confidential details about his New Jersey-based company’s nonpublic merger discussions th...

Norm Champ Speech: Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products

Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products by Norm Champ, Director, Division of Investment Management, on November 13, 2014

Staff Letter (No-action relief under rule 486(b) under the Securities Act of 1933: Nuveen Credit Strategies Income Fund, et al.)

Rule 486(b) under the Securities Act of 1933

Staff Letter (Exclusion of Shareholder Proposal under Rule 14a-8: Ellsworth Fund Ltd)

Exclusion of Shareholder Proposal under Rule 14a-8