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News and Alerts

07/26/2012

International Investing

Individual investors in the United States have access to a wide selection of investment opportunities, including international investments. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about international investing. This Investor Bulletin describes ways individual investors may obtain information about international investments— including special factors to consider when investing internationally.Read more

07/25/2012

SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition

The Securities and Exchange Commission has charged the close friend of a CEO with insider trading in the stock of a Houston-based employment services company by exploiting confidential information he learned while they were spending time together.Read more

07/19/2012

SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock

The Securities and Exchange Commission today charged the chairman and CEO of a Santa Ana, CA-based computer storage device company with insider trading in a secondary offering of his stock shares with knowledge of confidential information that a major customer’s demand for one of its most profitable products was turning out to be less than expected.Read more

07/19/2012

SEC Charges Chicago-Based Consulting Firm and Executives With Accounting Violations

The Securities and Exchange Commission today charged a Chicago-based consulting firm and two of its former executives with accounting violations that overstated the company’s income for multiple years.Read more

07/18/2012

SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO

The Securities and Exchange Commission today charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. The SEC also charged the firm that served as the deal’s collateral manager and the person who was its portfolio manager.Read more