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The Securities and Exchange Commission today announced that Stifel, Nicolaus &Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurateSource: Securities Exchange Commission
3 hours ago · From Securities Exchange Commission
The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised. According to the SEC's order,Source: Securities Exchange Commission
3 hours ago · From Securities Exchange Commission
The Securities and Exchange Commission today announced that Marvell Technology Group, Ltd. will pay $5.5 million to settle charges that it misled investors when it engaged in an undisclosed revenue management scheme in order to meet publicly-issuedSource: Securities Exchange Commission
3 hours ago · From Securities Exchange Commission
The Securities and Exchange Commission today announced that James M. Daly, Division of Corporation Finance Associate Director, will retire at the end of the month after more than 38 years of service at the SEC. As an Associate Director overseeing theSource: Securities Exchange Commission
5 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit Trail (the CAT NMS Plan). The proposed amendments to the CAT NMS Plan would require self-regulatorySource: Securities Exchange Commission
7 days ago · From Securities Exchange Commission