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NASAA Reminds Investors to Approach Cryptocurrencies, Initial Coin Offerings and Other Cryptocurrency-Related Investment Products...

WASHINGTON, DC (January 4, 2018) – As cryptocurrencies continue to garner national and international headlines, the North American Securities Administrators Association (NASAA) today reminded...

Broker Charged With Giving Special Access to IPOs for Cash Kickbacks

The Securities and Exchange Commission today charged a Wall Street stockbroker with illegally accepting more than $1 million in undisclosed kickbacks for giving certain...

SEC Names Kenneth A. Johnson as Chief Operating Officer

The Securities and Exchange Commission today announced that Kenneth A. Johnson has been named the agency's Chief Operating Officer (COO). Mr. Johnson has served as...

SEC Appoints New Chairman and Board Members to PCAOB

The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown, Kathleen M. Hamm, James...

Is Bitcoin Stealing Gold’s Luster?

It may still be too early to gauge Wall Street's attitude towards bitcoin but so far the sentiment we're seeing is extreme caution. Yesterday,...

Stock Trader Charged in Insider Trading Ring

The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part...

Daniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit

The Securities and Exchange Commission today announced that Daniel Michael has been named chief of the Enforcement Division’s Complex Financial Instruments Unit. In his new...

Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip

The Securities and Exchange Commission today announced an award of more than $4.1 million to a former company insider who alerted the agency to a...

Long Island Town and Former Top Official Charged With Defrauding Municipal Investors

The Securities and Exchange Commission today charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s municipal...

SEC Names Paul G. Cellupica as Deputy Director of the Division of Investment Management

The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Deputy Director of the agency's Division of Investment Management. Mr. Cellupica...

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