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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...

Wedbush Securities and Two Officials Agree to Settle SEC Case

The Securities and Exchange Commission today announced that Los Angeles-based broker-dealer Wedbush Securities agreed to settle a pending SEC case for market access violations by admitting wrongdoing, paying a $2.44 mil...

SEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola

The Securities and Exchange Commission today suspended trading in four companies that claim to be developing products or services in response to the Ebola outbreak, citing a lack of publicly available information about ...

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