-
The SEC recently brought its first ever enforcement actions for violating its limited offering exemption, and market participants are beginning to tighten up their policies and procedures in response.
May 11 -
The Commission has settled with Roberto Mejill-Tellado for acting as an unregistered broker in the scheme that defrauded the city of Mayaguez, Puerto Rico.
April 6 -
The Ohio-based was underwriter on 47 limited offerings, violating the Commission's limited offering exemption.
March 8 -
The Securities and Exchange Commission's examination priorities for the year include big ticket items like Regulation Best Interest.
February 8 -
BVAL marketed its bond valuation methods as sophisticated but sometimes based the valuation on a single broker quote, the SEC said.
January 23 -
The Securities and Exchange Commission's Public Finance Abuse Division began looking in new directions, charging five different firms with violating 15c2-12 limited offering exemptions in addition to going after issuer officials.
December 30 -
PNC Capital Markets has agreed to pay almost $200,000 to settle with the SEC over a failure to meet disclosure requirements in connection with 36 limited offerings.
December 22 -
Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.
December 20 -
Ruben James Rojas agreed to admit wrongdoing and pay a $50,000 fine after the Securities and Exchange Commission found that he misled bond investors in connection with a $100 million offering.
November 22 -
The Securities and Exchange Commission's FY 2022 results show the Commission filed 760 enforcement actions and recovered $6.4 billion in penalties and disgorgement, a 9% increase from FY 2021.
November 16