March 26 meeting to discuss issues and challenges facing financial firms and public companies
Rick Fleming to head Office of the Investor Advocate
Risk alert examines the due diligence advisors use when they put clients into alternative investments
U.s. regulator to focus on fraud and sales practices, among other issues
George Canellos will leave the U.S. regulator later this month
U.S. regulator looking to update rules that dictate what a company must disclose in its filings
The SEC collected a record US$3.4 billion in penalties and other sanctions
Details of their proposals will be set out in rule filings and amendments subject to SEC approval
US$150,000 reward represents 30% of the money collected by the SEC in its enforcement action
Firms agree to US$900,000 in penalties and disgorgement