U.S. Securities and Exchange Commission
Nasdaq Offers Exclusive Home for Small Cap Issuers
The exchange has proposed eliminating unlimited trading privileges for its thinly-traded stocks to reduce market complexity.
Solar Firm Owners Charged With ‘Massive’ Fraud
The owners of DC Solar raised nearly $910 million by selling investors solar generators that did not exist, the SEC said.
MetLife Fined $10M Over Annuity Accounting
The SEC says the insurer failed to maintain a sufficient system of internal controls, resulting in an improper release of annuity reserves.
Five IT Workers Charged in Insider Trading Ring
A former IT administrator at Palo Alto Networks allegedly tipped off four friends in advance of the company's quarterly earnings announcements.
Ex-Celadon Execs Accused of Accounting Fraud
The former COO and CFO allegedly orchestrated a scheme that enabled the trucking company to hide tens of millions of dollars in losses.
SEC Charges Former MiMedx Execs With Fraud
The C-suite executives allegedly improperly recognized revenue from distributors with which MiMedx had secret side arrangements.
Ex-Outcome Health Execs Charged With Fraud
The SEC says the CFO and two other executives misrepresented Outcome's financial performance to raise nearly $500 million from investors.
Whistleblower Tips to SEC Top 5,200 in FY 2019
“The whistleblower program continues to have a significant positive impact on the commission’s enforcement efforts and protection of investors and markets."
Feds Investigate Under Armour’s Accounting Practices
The investigation involves whether the company shifted sales from quarter to quarter to make results appear stronger.
Proxy Adviser Sues SEC Over New Guidance
Institutional Shareholder Services says its lawsuit is necessary to litigation to be necessary to "prevent the chill of proxy advisers’ protected speech."
SEC Names White House Aide to PCAOB
Rebekah Goshorn Jurata replaces Kathleen Hamm, a cybersecurity expert who had been seeking a second term on the board.