• THIS COMPANY
  • THIS COMPANY
  • THIS COMPANY

SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies

The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) today issued an alert warning investors that some penny stocks being aggressively pr...

SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations

The Securities and Exchange Commission today announced charges against an investment advisory firm and three top officials for violating the “custody rule” that requires firms to follow certain procedures when they control ...

Steven Levine Named Associate Director for Investment Adviser/Investment Company Exam Program in Chicago

The Securities and Exchange Commission today announced that it has named Steven J. Levine as the Associate Director for the Investment Adviser/Investment Company examination program in its Chicago office.  He will over...

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