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Harbinger’s Former Chief Operating Officer Agrees to Settle Charges for Assisting Hedge Fund Scheme

The Securities and Exchange Commission today announced that the former chief operating officer at Harbinger Capital Partners LLC has agreed to settle charges that he assisted a scheme by the firm and its owner Philip A. Fal...

SEC Charges Smith & Wesson With FCPA Violations

The Securities and Exchange Commission today charged Smith & Wesson Holding Corporation with violating the Foreign Corrupt Practices Act (FCPA) when employees and representatives of the U.S.-based parent company authori...

Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System

The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to protect the confidential trading data of its subscribers. New York-based LavaFlo...

Rule: SEC Adopts Money Market Fund Reform Rules

SEC Adopts Money Market Fund Reform Rules

Rule: SEC Proposes Removal of Certain References to Credit Ratings in the Money Market Fund Rule

SEC Proposes Removal of Certain References to Credit Ratings in the Money Market Fund Rule

Norm Champ Speech: Remarks to the 2014 Insured Retirement Institute Government, Legal and Regulatory Conference

Remarks to the 2014 Insured Retirement Institute Government, Legal and Regulatory Conference by Norm Champ, Director, Division of Investment Management, on July 1, 2014