Latest from SEC

SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters
Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
SEC Charges Colorado-Based Investment Adviser With Fraudulently Recommending Hedge Funds to Older Investors
The Securities and Exchange Commission today charged Boulder, Colo.-based investment adviser Neal R. Greenberg with fraud and breach of fiduciary duty in the marketing and recommendation of his firm's hedge funds to investors, including many elderly clients.
SEC Sets Field Hearings on State of Municipal Securities Markets
The Securities and Exchange Commission announced today that it will launch a series of field hearings to examine the municipal securities markets, starting in San Francisco on September 21. Topics will include disclosure and transparency, credit ratings, and internal controls.
SEC Charges New Jersey Investment Adviser in Multi-Million Dollar Offering Fraud
The Securities and Exchange Commission today charged a Branchburg, N.J.-based investment adviser and three of her firms with operating a multi-million dollar offering fraud involving the sale of phony promissory notes to investors, many of whom are retired or unsophisticated in investments.
SEC Adopts Temporary Rule Requiring Municipal Advisors to Register With Agency
The Securities and Exchange Commission today adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a deadline established by the newly-enacted Dodd-Frank Wall Street Reform and Consumer Protection Act.
SEC Charges Pinnacle Capital Markets for Deficient Customer Identification Program Procedures
The Securities and Exchange Commission today charged Pinnacle Capital Markets LLC with failing to comply with an anti-money laundering (AML) rule that requires broker-dealers to identify and verify the identities of its customers and document its procedures for doing so. The SEC also charged Pinnacle's managing director Michael A. Paciorek with causing Pinnacle's violations.
SEC Charges Two Accounting Professionals at Milwaukee-Based Company with Fraud
The Securities and Exchange Commission today charged two former senior accounting professionals at a Milwaukee-based headphone manufacturer with accounting fraud, books-and-records violations, and related misconduct arising from the embezzlement of more than $30 million from the company.
SEC Issues Report Cautioning Credit Rating Agencies
The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and the importance of sufficient internal controls over the policies, procedures, and methodologies the firms use to determine credit ratings.
Brian Breheny, Deputy Director in Division of Corporation Finance, to Leave After Seven Years at SEC
he Securities and Exchange Commission announced today that Brian V. Breheny, the Deputy Director for Legal and Regulatory Policy in the Division of Corporation Finance, will depart the agency after more than seven years of public service.
Christopher R. Conte, Associate Director of Enforcement, to Leave After Nearly 18 Years at SEC
The Securities and Exchange Commission today announced that Christopher R. Conte, an Associate Director in the Division of Enforcement, will leave the SEC next month after nearly 18 years of public service at the agency.

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SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers Today, July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer...

SEC3 Offers Private Fund Registration and Compliance Services Our SEC knowledge and private fund experience is what differentiates us from our competitors. ...

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IA Compliance Fall Conference 2010 (09/20)
NYC Compliance Roundtable (09/29)
5th Annual Meeting of the Hedge Fund Operations Association (10/25)
Hedge Fund Registration Master Class (10/27)

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