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News and Alerts

06/09/2014

Investor Bulletin: Lost and Stolen Securities

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about lost and stolen securities and the Commission’s Lost and Stolen Securities Program (“LSSP”), a database for securities certificates reported lost, stolen, missing, or counterfeit.Read more

06/06/2014

SEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information

The Securities and Exchange Commission today charged a New York-based brokerage firm that operates a dark pool alternative trading system with improperly using subscribers’ confidential trading information in marketing its services.Read more

06/06/2014

SEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations

The Securities and Exchange Commission today announced charges against a Los Angeles-based market access provider and two officials accused of violating the agency’s market access rule that requires firms to have adequate risk controls in place before providing customers with access to the market.Read more

06/05/2014

Investor Bulletin: Bank Sweep Programs

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about bank sweep programs, which some broker-dealers offer to their customers as a way to manage cash in their brokerage accounts. This Investor Bulletin describes some of the potential risks associated with bank sweep programs and suggests questions you may want to consider asking your broker-dealer to help you decide how to best manage the cash in your brokerage account.Read more

06/03/2014

SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities

The Securities and Exchange Commission today charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two ventures without registering them. Read more