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Selected Press Releases

SEC Proposes Rules To Help Prevent And Detect Identity Theft

02/28/2012

The Securities and Exchange Commission today announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.Read more

SEC Releases Risk Alert on Unauthorized Trading

02/27/2012

The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.Read more

SEC Charges China-Based Executives with Securities Fraud

02/22/2012

The Securities and Exchange Commission today charged two China-based executives with defrauding investors into believing they were investing in a Chinese coal business when in fact they were investing in an empty shell company.Read more

SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector

02/17/2012

The Securities and Exchange Commission today charged John Kinnucan and his Portland, Oregon-based expert consulting firm Broadband Research Corporation with insider trading. The charges stem from the SEC’s ongoing investigation of insider trading involving expert networks.Read more

SEC Tightens Rules on Advisory Performance Fee Charges

02/15/2012

The Securities and Exchange Commission today announced it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees, by excluding the value of the investor’s home from the net worth calculation.Read more