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SEC Adopts Money Market Fund Reform Rules - Rules Provide Structural and Operational Reform to Address Run Risks in Money Market Funds

The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds. The amendments make structural and operational reforms to address risks of investor runs in money market funds, while preserving the benefits of the funds.Read more


SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases

The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he helped prepare their press releases. Read more


SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile

The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets to make loans to himself to buy a luxury vacation home and refinance a rare vintage automobile. Read more


SEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump Scheme

The Securities and Exchange Commission today charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares of a medical education company in Pennsylvania and two other microcap stocks. Read more


Investor Bulletin: Ten Things You Should Know About Investing

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors basic information that may help them make informed financial decisions and avoid common scams.Read more