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The U.S. Securities and Exchange Commission is preparing to resolve a two-year probe into allegations of greenwashing by the German fund manager DWS, with a fine by the end of September, two ...
In December 2010, the SEC, the Department of Justice and other federal and state agencies announced the results of "Operation Broken Trust", a coordinated effort by the Financial Fraud Enforcement Task Force to target investment fraud. The operation resulted in prosecutions against 310 criminal defendants involving $8.3 billion in losses and ...
The procedures and rules for when and how to open and close MUIs are described in the agency's Enforcement Manual (which was first published in 2008), [5] [6] as well as other SEC memorandum [7] In the 2000s (decade) era, any MUI that was not cancelled, automatically became an 'informal investigation' after a certain period of time.
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. [2] [3] [4] Its primary purpose is to enforce laws against market manipulation. [5] [6]: 2
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By Chris Prentice. NEW YORK (Reuters) -The U.S. Securities and Exchange Commission's enforcement director is leaving the agency, the regulator said on Wednesday, marking the end of a three-year ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
A challenge to the U.S. Securities and Exchange Commission's powers to protect investors from fraud comes before the Supreme Court on Wednesday in another in a series of legal attacks against ...