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SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds

The Securities and Exchange Commission today voted to propose rule amendments to implement certain provisions of the Small Business Credit Availability Act and the Economic Growth, Regulatory Relief, and Consumer Protection Act.   The proposal would improve access to capital and facilitate… Continue Reading →

SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure

The Securities and Exchange Commission today voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies. These amendments are expected to benefit investors by eliminating outdated and unnecessary disclosure and making it easier… Continue Reading →

SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client

The Securities and Exchange Commission today charged Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief operating officer of the firm, with manipulating the auction of a commercial real estate asset on behalf of one client… Continue Reading →

SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud

The Securities and Exchange Commission today charged Volkswagen AG, two of its subsidiaries, and its former CEO, Martin Winterkorn, for defrauding U.S. investors, raising billions of dollars through the corporate bond and fixed income markets while making a series of… Continue Reading →

Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office

The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement in the SEC’s Denver Regional Office. Mr. Burt succeeds Kurt Gottschall, who became Regional Director of the SEC’s Denver office in November… Continue Reading →

SEC Announces March 28 Meeting of Investor Advisory Committee

The Securities and Exchange Commission today announced the agenda for the March 28 meeting of its Investor Advisory Committee. The meeting will begin at 9 a.m. ET in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C…. Continue Reading →

SEC Share Class Initiative Returning More Than $125 Million to Investors

Reflecting SEC’s Commitment to Retail Investors, 79 Investment Advisers Who Self-Reported Advisers Act Violations Agree to Compensate Investors Promptly, Ensure Adequate Fee Disclosures The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more… Continue Reading →

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements

The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000 penalty to settle charges that a firm it acquired misled its advisory clients into believing… Continue Reading →

Brent J. Fields Named Associate Director in the Division of Investment Management

Washington D.C., Feb. 26, 2019 — The Securities and Exchange Commission today announced that Brent J. Fields has been named Associate Director of Disclosure Review and Accounting in the Division of Investment Management. Mr. Fields is a 23-year SEC veteran… Continue Reading →

SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors

Washington D.C., Feb. 26, 2019 — The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a South Florida-based investment fund scheme, one of whom has a prior felony conviction and is on parole after… Continue Reading →