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News Stories (10 Results) - SEC

Guggenheim Partners, the global financial services firm, today announces the appointment of Andrew M. Rosenfield, a Guggenheim Managing Partner, as President of Guggenheim Partners. It also announces that Gerald Donini, Co-CEO of Guggenheim... Read Story
September 04, 2019, 09:00 AM


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 (SEC) has charged KPMG LLP with altering past audit work after receiving stolen information about inspections of the firm that would be conducted by the Public Company Accounting Oversight Board (PCAOB).  The... Read Story
June 18, 2019, 09:00 AM


The Securities and Exchange Commission voted to propose rule amendments to implement certain provisions of the Small Business Credit Availability Act and the Economic Growth, Regulatory Relief, and Consumer Protection Act.  The proposal would improve... Read Story
March 25, 2019, 09:10 AM


The Securities and Exchange Commission settled charges against 79 investment advisers who will return more than $125 million to clients, with a substantial majority of the funds going to retail investors.  The actions stem from the SEC’s Share Class... Read Story
March 12, 2019, 08:23 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 voted to propose rule amendments to simplify and streamline the financial disclosure requirements applicable to registered debt offerings for guarantors and issuers of guaranteed securities, as well as for... Read Story
July 25, 2018, 08:00 AM


The Securities and Exchange Commission announced charges against six certified public accountants – including former staffers at the Public Company Accounting Oversight Board (PCAOB) and former senior officials at KPMG LLP – arising from their... Read Story
January 23, 2018, 08:00 AM


Business Development Companies (BDCs) that rely on Collateralized Loan Obligations (CLO) as a part of their funding strategies are asking the federal government to reconcile conflicting legal guidelines that they argue place unrealistic, competing... Read Story
July 21, 2017, 08:18 AM