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News and Alerts

07/25/2014

SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition

The Securities and Exchange Commission today announced it has charged two additional brokers with trading on inside information ahead of the $1.2 billion acquisition of SPSS Inc. in 2009 by IBM Corporation. Read more

07/25/2014

Investor Alert: Social Media and Investing -- Stock Rumors

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks.Read more

07/23/2014

SEC Adopts Money Market Fund Reform Rules - Rules Provide Structural and Operational Reform to Address Run Risks in Money Market Funds

The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds. The amendments make structural and operational reforms to address risks of investor runs in money market funds, while preserving the benefits of the funds.Read more

07/22/2014

SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases

The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he helped prepare their press releases. Read more

07/17/2014

SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile

The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets to make loans to himself to buy a luxury vacation home and refinance a rare vintage automobile. Read more