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Selected Press Releases

SEC Adopts Rules to Increase Protections for Investors With Assets Being Held By Broker-Dealers

07/31/2013

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of rules designed to substantially increase protections for investors who turn their money and securities over to broker-dealers registered with the SEC. Read more

SEC Sanctions Two Investment Advisers for Best Execution Failures

07/31/2013

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today sanctioned two investment advisory firms for failing to seek best execution on client trades placed with their in-house brokerage divisions.Read more

SEC Charges Tipper of Confidential Information to S.A.C. Capital Portfolio Manager

07/30/2013

The Securities and Exchange Commission today charged the tipper of confidential information to a S.A.C. Capital portfolio manager who has been charged with insider trading.Read more

SEC Charges Two Traders in Spain With Insider Trading Ahead of BHP Acquisition Bid

07/30/2013

Washington D.C., July 30, 2013 — The Securities and Exchange Commission today charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider trading based on non-public information about a proposed acquisition for which the Spanish investment bank was acting as an advisor.Read more

SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors

07/29/2013

The Securities and Exchange Commission today charged a school district in Indiana and its municipal bond underwriter with falsely stating to bond investors that the school district had been properly providing annual financial information and notices required as part of its prior bond offerings.Read more