Newsfile SEC Press Digest

Recent News

  • SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

    Washington, D.C.--(Newsfile Corp. - April 16, 2019) - The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.The program is designed to provide an open forum for regulators and ...

    2019-04-16 12:45 PM ET
  • Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management

    Washington, D.C.--(Newsfile Corp. - April 15, 2019) - The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team and ...

    2019-04-15 12:41 PM ET
  • SEC Charges Former Woodbridge Directors of Investment With Fraud

    Washington, D.C.--(Newsfile Corp. - April 11, 2019) - The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane R. Roseman, were separately arrested and charged by criminal authorities, along with Woodbridge ...

    2019-04-11 9:31 PM ET
  • SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee

    Washington, D.C.--(Newsfile Corp. - April 11, 2019) - The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations ...

    2019-04-11 3:22 PM ET
  • SEC Charges Former SeaWorld Associate General Counsel With Insider Trading

    Washington, D.C.--(Newsfile Corp. - April 9, 2019) - The Securities and Exchange Commission today charged a former senior lawyer at SeaWorld Entertainment Inc. with insider trading based on nonpublic information that the company’s revenue would be better than anticipated for the second quarter of 2018.The SEC alleges that Paul B. ...

    2019-04-09 3:40 PM ET