Company: Securities and Exchange Commission

953 results found

Regulators alleged the man secured a fraudulent Nasdaq listing for his company

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U.S. regulators lay charges in an alleged international microcap trading fraud

Upset confused businessman looking at laptop screen at workplace in modern office. Stressed young CEO at work desk looking at computer in disbelief about failing report statistics, bad mistake made.

The proposal would expand the definition of accredited investor

Gavel and legal books

Former executive banned by SEC, ordered to pay US$43.7 million in disgorgement

Closeup of mallet being hit on stacked coins at table in courtroom

The man allegedly failed to disclose that he was being paid to promote the company

Dissenting commissioner says it's "absurd that the commission is excusing billionaires from the notice-filing requirement"


SEC also enjoyed a record level of co-operation in its enforcement efforts


Three victims of fraud notified SEC of scheme targeting retail investors


Firm and its founders ordered to pay US$6.9 million


The increases came in spite of the U.S. federal government shutdown