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News Stories (7 Results) - Securities and Exchange Commission

The Securities and Exchange Commission announced that broker Cantor Fitzgerald & Co. will pay more than $647,000 and broker BMO Capital Markets Corporation will pay over $3.9 million to settle charges of improper handling of "pre-released" American... Read Story
August 19, 2019, 08:40 AM


The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Act.  These and... Read Story
June 24, 2019, 09:00 AM


Business Development Companies (BDCs) that rely on Collateralized Loan Obligations (CLOs) as a part of their funding strategies can breathe a little easier after the Securities and Exchange Commission suggested it would not take enforcement action... Read Story
September 13, 2018, 07:56 AM


The Securities and Exchange Commission announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures... Read Story
August 29, 2018, 07:14 AM


The Securities and Exchange Commission announced that four private equity fund advisers affiliated with Apollo Global Management have agreed to a $52.7 million settlement for misleading fund investors about fees and a loan agreement and failing to... Read Story
August 25, 2016, 07:43 AM


The Securities and Exchange Commission charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. The Rhode Island Economic... Read Story
March 08, 2016, 08:08 AM


The Securities and Exchange Commission announced that an investment advisory firm in Philadelphia has agreed to pay more than $21 million to settle charges that it fraudulently retained fees belonging to collateralized debt obligation (CDO)... Read Story
September 04, 2015, 07:58 AM