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Monday, August 21 2017 @ 12:39 PM CDT
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SEC Announces 2015 Examination Priorities

Priorities Focus on Protecting Retail Investors, Assessing Market-Wide Risks and Using Data Analytics

Washington D.C., - The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015 which focus on three areas: protecting retail investors, especially those saving for or in retirement; assessing market-wide risks; and using data analytics to identify signs of potential illegal activity.

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SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

Washington D.C., - The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 million penalty to settle charges that their rules failed to accurately describe the order types being used on the exchanges. The penalty is the SEC’s largest against a national securities exchange, and the case is the SEC’s first principally focusing on stock exchange order types.
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SEC Charges Corporate Attorney and Wife With Insider Trading on Client’s Confidential Information

The Securities and Exchange Commission today charged a California-based attorney and his wife with insider trading on confidential information obtained from a corporate client.

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SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors

The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculative start-up companies.

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SEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures

The Securities and Exchange Commission today imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to properly audit year-end financial statements of a company that the SEC has charged with fraud.

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SEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading

The Securities and Exchange Commission today announced charges against a Phoenix-based equity research firm owner who allegedly manipulated the market for a publicly traded stock he was soliciting investors to purchase.

 

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SEC Charges Massachusetts-Based Scientific Instruments Manufacturer with FCPA Violations

Washington D.C., Dec. 15, 2014 — The Securities and Exchange Commission today charged a Billerica, Mass.-based global manufacturer of scientific instruments with violating the Foreign Corrupt Practices Act (FCPA) by providing non-business related travel and improper payments to various Chinese government officials in an effort to win business.

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Refunds for customers jacked by T-Mobile

ome current and former T-Mobile customers are about to get their money back.

As part of a $90 million dollar proposed settlement, T-Mobile is refunding customers who were unfairly billed third-party charges by the company.

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L.A. Fashion District businesses ordered to report more cash transactions as part of massive money laundering investigation

Geographic Targeting Order impacts most businesses in L.A. Fashion District

WASHINGTON, DC — In the latest development in the probe by U.S. Immigration and Customs Enforcement's (ICE) Homeland Security Investigations (HSI) targeting alleged money laundering activities in Los Angeles' garment trade, the Financial Crimes Enforcement Network (FinCEN) announced Thursday the issuance of a Geographic Targeting Order (GTO) that imposes additional reporting and recordkeeping obligations on certain businesses located within the city's fashion district.

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Social Security Defines Policy for Same-Sex Married Couples

Agency Extends Benefits Broadly, Subject to Legal Constraints

Social Security has published new instructions that allow the agency to process more claims in which entitlement or eligibility is affected by a same-sex relationship. These instructions come in response to last year’s Supreme Court decision in U.S. vs. Windsor, which found Section 3 of the Defense of Marriage Act unconstitutional. 

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