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News and Alerts

05/15/2014

SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm

The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.Read more

05/15/2014

SEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments

The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dealer. Read more

05/12/2014

Investor Bulletin: Mutual Fund Fees and Expenses

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to explain some of the most common mutual fund fees and expenses. As a general introduction to mutual fund fees and expenses, this Investor Bulletin does not identify all of the fees that you may pay to buy and own shares in a mutual fund. This Investor Bulletin will, however, familiarize you with some typical mutual fund fees and expenses and show you how those fees and expenses reduce the value of your fund’s investment return.Read more

05/12/2014

Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale

The Securities and Exchange Commission today filed insider trading charges against three software company founders for taking unfair advantage of incorrect media speculation and analyst reports about the company’s acquisition.Read more

05/12/2014

SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition

The Securities and Exchange Commission today charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead of a major acquisition announcement.Read more