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Investor Bulletin: Making Sense of Financial Professional Titles

The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the North American Securities Administrators Association (NASAA) are jointly issuing this Investor Bulletin to help investors better understand the titles used by financial professionals. The requirements for obtaining and using these titles vary widely, from rigorous to nothing at all. To use certain titles, a financial professional may need to pass exams, meet ethical standards, have relevant work experience, and undertake continuing education. Other titles, however, may be obtained with little time, effort, and experience.Read more


SEC Halts Florida-Based Prime Bank Investment Scheme

Washington D.C. — The Securities and Exchange Commission today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme that promised exorbitant returns from a purported international trading program.Read more


SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules

Washington D.C. — The Securities and Exchange Commission today charged the former head of investor relations for a Tempe, Ariz.-based solar energy company with violating rules requiring fair disclosure of information when he alerted certain analysts and investors about an upcoming major development.Read more


Thailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading Case

Washington D.C. — The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC emergency action in June has agreed to pay $5.2 million to settle charges that he traded on inside information in advance of a public announcement about a proposed acquisition of Smithfield Foods by a firm in China.Read more


SEC Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund

The Securities and Exchange Commission today announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund.Read more