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Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings

The Securities and Exchange Commission today charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued.Read more


SEC Announces Additional Charges in Football-Related Boiler Room Scheme - U.S. Attorney’s Offices in Miami and Los Angeles Announce Parallel Actions

The Securities and Exchange Commission today announced a second round of charges against individuals behind a boiler room scheme that hyped a company whose new technology was purportedly Super Bowl-bound.Read more


SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors

The Securities and Exchange Commission today announced it has charged a Florida-based transfer agent and its owner with defrauding investors by using aggressive boiler room tactics to peddle worthless securities with promises of high returns or discounted prices. Read more


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