Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks

The Securities and Exchange Commission today announced that Allergan Inc. has agreed to admit securities law violations and pay a $15 million penalty for...

SEC Awards $5.5 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $5.5 million to a whistleblower who provided critical information that helped the...

Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to...

The Commodity Futures Trading Commission (CFTC) announced that Judge William P. Dimitrouleas of the U.S. District Court for the Southern District of Florida entered...

SEC Charges Former Staffer With Securities Fraud Violations

The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options and other securities. The SEC’s...

CySEC Announces Decision On Financial Penalties On Seven Directors And The Group Chief Financial...

The Cyprus Securities and Exchange Commission (“CySEC”) today announces a series of financial penalties imposed on seven Directors and the Group Chief Financial Officer...

Commission Statement on T+2 Implementation

Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant to amendments to Rule...

MAS Clarifies Regulatory Position on the Offer of Digital Tokens in Singapore

The Monetary Authority of Singapore (MAS) clarified today that the offer or issue of digital tokens in Singapore will be regulated by MAS if...

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the...

Citigroup Global Markets Australia Pays $50,000 In Infringement Notice Penalty

Citigroup Global Markets Australia Pty Ltd ('Citigroup') has paid a penalty of $50,000 to comply with an infringement notice given to it by the...

SEC Announces $7 Million Whistleblower Award

The Securities and Exchange Commission today announced an award of more than $7 million split among three whistleblowers who helped the SEC prosecute an...

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