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News
Remarks at the Investor Advisory Committee Meeting
3+ day, 4+ hour ago (459+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Remarks at the Investor Advisory Committee Meeting Thank you, George [Georgiev]. Good morning and welcome to all Committee members and panelists. I appreciate the…...
Guggenheim's Walsh says accounting at GPI unit was 'appropriate"
2+ week, 5+ day ago (353+ words) Guggenheim Partners is working with regulators as they probe a business accounting issue at one of its subsidiaries, according to Anne Walsh, chief investment officer of the firm's asset-management business. "We have been very open with regulators and very cooperative…...
Statement on Commencement of Appointment Process for Public Company Accounting Oversight Board Seat
3+ week, 5+ day ago (330+ words) Paul S. Atkins, Chairman Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Commencement of Appointment Process for Public Company Accounting Oversight Board Seat On behalf of the Securities and Exchange Commission (the “SEC”), I…...
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
4+ week, 1+ day ago (397+ words) The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly… Official websites use.gov Secure....