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Recent News

Wells Fargo settles SEC charges related to Curt Schilling bond offering

The bank agreed to pay $800,000 to settle charges of disclosure failures in a 2010 municipal bond offering that it underwrote to finance Curt Schilling’s video-game startup.

SEC says Musk hasn’t sought preapproval of a single tweet

The SEC contends that by retaining the sole authority to determine whether tweets contain material information, Elon Musk renders a court order’s preapproval requirement meaningless.

PCAOB staff offers guidance on CAM implementation

The guidance provides a high-level look at what constitutes a "critical audit matter" and how it should be described in an auditor report, as well as a discussion of potential issues that may arise.

SEC charges Volkswagen and former CEO with defrauding investors in ‘clean diesel’ emissions scam

The SEC has filed a complaint charging Volkswagen AG, two of its subsidiaries, and its former CEO with defrauding U.S. investors, raising billions of dollars through the corporate bond and fixed income markets while making a series of deceptive claims about the environmental

Senate Agriculture Committee gives warm reception to nominee for CFTC chairman

Among other topics, nominee Heath Tarbert responded to senators’ questions about his views on cross-border derivatives regulation, cybersecurity, systemic risk, and the importance of bipartisan cooperation.

Chairman Clayton replies to digital tokens letter from Rep. Budd, hints at more guidance

SEC Chairman Jay Clayton, while hinting at more guidance, said regulators look to statutory definitions and the Howey test on whether digital tokens are securities. Clayton also suggested a token’s status is not "static" and depends on its decentral

Lumber Liquidators floored by fraud charges from SEC and DOJ

Company hit with combined monetary sanctions of $33 million, which resulted from false public statements it made in response to a 60 Minutes expose.

Mutual fund investors to receive $125M under SEC’s self-reporting share class initiative

Investment advisers that failed to disclose conflicts of interest when placing clients in higher-cost mutual fund share classes will disgorge the improperly-disclosed fees mostly to retail investors.

Commissioner Jackson renews call to action on unfinished Dodd-Frank rulemaking

Jackson said that the credibility of the SEC is at stake if it does not implement the Dodd-Frank rules, including the proposed rules on executive compensation.

CFTC enforcement chief rolls out foreign corrupt practices advisory

DOE Director James McDonald announces new policies extending prior pronouncements that encourage cooperation and self-reporting of violations, as well as enhanced coordination with law enforcement partners.

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