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News and Alerts

01/12/2015

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 million penalty to settle charges that their rules failed to accurately describe the order types being used on the exchanges. The penalty is the SEC’s largest against a national securities exchange, and the case is the SEC’s first principally focusing on stock exchange order types. Read more

01/05/2015

Investor Bulletin: 15 Investment Tips for 2015

Whether you’re a first-time investor or have been investing for years, here are fifteen tips to help you make more informed financial decisions and avoid common investment scams in 2015.Read more

12/29/2014

Investor Bulletin: How Harmed Investors May Recover Money

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.Read more

12/18/2014

SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors

The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculative start-up companies.Read more

12/16/2014

SEC Announces Charges in Alleged Gold Mining Investment Scheme

The Securities and Exchange Commission today announced charges against two individuals and their companies behind an alleged gold mining investment scheme based in Miami.Read more