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News and Alerts

03/19/2012

Municipal Bonds

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate individual investors about municipal bonds.Read more

03/19/2012

SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds

The Securities and Exchange Commission today issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds. Read more

03/15/2012

SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme

The Securities and Exchange Commission today charged two senior executives and their California-based firm with defrauding officers and directors at publicly-traded companies in an elaborate $8 million stock lending scheme.Read more

03/15/2012

SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report

The Securities and Exchange Commission today charged a San Francisco-area investment adviser with defrauding investors by giving them a bogus audit report that embellished the financial performance of the fund in which they were investing.Read more

03/15/2012

SEC Charges Chicago-Based Management Consultant With Insider Trading

The Securities and Exchange Commission today charged a Chicago-based management consultant with insider trading based on confidential information about his client’s impending takeover of a Long Island-based vitamin company.Read more