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News and Alerts

10/28/2013

Investor Bulletin: The ABCs of Credit Ratings

The SEC’s Office of Investor Education and Advocacy and Office of Credit Ratings are issuing this Investor Bulletin to educate investors about credit ratings.Read more

10/28/2013

SEC Charges Three Firms With Violating Custody Rule

The Securities and Exchange Commission today sanctioned three SEC-registered investment advisory firms for violating the “custody rule” that requires them to meet certain standards when maintaining custody of their clients’ funds or securities.Read more

10/24/2013

SEC Charges Stryker Corporation With FCPA Violations

The Securities and Exchange Commission today charged a Michigan-based medical technology company with violating the Foreign Corrupt Practices Act (FCPA) when subsidiaries in five different countries bribed doctors, health care professionals, and other government-employed officials in order to obtain or retain business.Read more

10/23/2013

SEC Issues Proposal on Crowdfunding

The Securities and Exchange Commission today voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding.Read more

10/22/2013

SEC Charges Diebold With FCPA Violations

The Securities and Exchange Commission today charged an Ohio-based manufacturer of ATMs and bank security systems with violating the Foreign Corrupt Practices Act by bribing officials at government-owned banks with pleasure trips in order to illicitly win business.Read more