• Our collection of financial planning tools are here for you: Link
    SEC_News Sun 17 Feb 2019 18:21
    See how your invested money can grow over time through the power of compound interest, or use the savings goal calculator to find out how much you need save to reach a specific amount.
  • Think you’re cyber-savvy? Test your knowledge with our quick quiz: Link #cybersecurity
    SEC_News Sun 17 Feb 2019 15:11

    As markets grow more global and complex, so too are the threats through cyber intrusion, denial of service attacks, manipulation, misuse by insiders and other cyber misconduct. In the United States, aspects of cybersecurity are the responsibilities of multiple government agencies, including the SEC. Cybersecurity is also a responsibility of every market participant. The SEC is committed to working with federal and local partners, market participants and others to monitor developments and effectively respond to cyber threats.

  • #2019tips: Link #wereheretohelpyou
    SEC_News Sat 16 Feb 2019 17:20

    It is free and easy to check the background of an investment professional.  You can find details about an investment professional’s qualifications through the search tool on Investor.gov, the SEC’s website for individual investors.  Also, make sure to ask SALI whether your investment professional has been named in an SEC action.  If you need help, you can call our toll-free investor assistance line at (800) 732-0330 for help.

  • When was the last time you checked your investment professional’s background? Only takes a minute: Link
    SEC_News Sat 16 Feb 2019 14:55

    Investing in your future means saving for retirement, college or a rainy day fund. If you're working with an investment professional, or someone is trying to sell you an investment, check them out before handing over your hard-earned money.

  • SEC files charges in elaborate microcap stock fraud Link
    SEC_News Fri 15 Feb 2019 17:54

    The Securities and Exchange Commission today announced charges against four individuals and related businesses for their roles in two microcap frauds and unlawful securities offerings.  In sum, the alleged illegal transactions resulted in proceeds of more than $25 million.

    According to the SEC’s complaint, from approximately December 2012 to June 2013, microcap stock financier Magna Group, which was founded and owned by Joshua Sason, engaged in a scheme to acquire fake convertible promissory notes supposedly issued by penny stock issuer Lustros Inc. and then to convert those notes into shares of Lustros common stock.  The defendants then sold the shares to unsuspecting retail investors, who did not know that the shares were fraudulently acquired and were being sold illegally.  The defendants’ sales of the Lustros shares also had the effect of destroying the value of the Lustros shares held by the public.  The complaint alleges that Marc Manuel, Magna...

  • SEC charges Cognizant and two former executives with FCPA violations Link
    SEC_News Fri 15 Feb 2019 15:54

    Cognizant Technology Solutions Corporation has agreed to pay $25 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA), and two of the company’s former executives were charged for their roles in facilitating the payment of millions of dollars in a bribe to an Indian government official. 

    The Securities and Exchange Commission’s complaint alleges that in 2014, a senior government official of the Indian state of Tamil Nadu demanded a $2 million bribe from the construction firm responsible for building Cognizant’s 2.7 million square foot campus in Chennai, India.  As alleged in the complaint, Cognizant’s President Gordon Coburn and Chief Legal Officer Steven E. Schwartz authorized the contractor to pay the bribe, and directed their subordinates to conceal the bribe by doctoring the contractor’s change orders.  The SEC also alleges that Cognizant authorized the construction firm to make two additional bribes totaling more than...

  • SEC extends comment period for rulemaking proposal regarding updated disclosure requirements and summary prospectus… Link
    SEC_News Fri 15 Feb 2019 13:49

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • RT @SEC_Investor_Ed: Think you and your investment professional are a match made in heaven ??? Do a background check anyway. Use the free…
    SEC_News Thu 14 Feb 2019 21:13
  • OCIE Risk Alert: Transfer agents should review their practices, policies and procedures to ensure funds and securit… Link
    SEC_News Thu 14 Feb 2019 15:43

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • OCIE’s latest Risk Alert: Transfer Agent Safeguarding of Funds and Securities Link
    SEC_News Wed 13 Feb 2019 19:52
  • OCIE's newest Risk Alert: Transfer Agent Safeguarding of Funds and Securities Link
    SEC_News Wed 13 Feb 2019 19:47
  • SEC charges former senior attorney at Apple with insider trading Link
    SEC_News Wed 13 Feb 2019 18:07

    The Securities and Exchange Commission today filed insider trading charges against a former senior attorney at Apple whose duties included executing the company’s insider trading compliance efforts.    

    The SEC’s complaint alleges that Gene Daniel Levoff, an attorney who previously served as Apple’s global head of corporate law and corporate secretary, received confidential information about Apple’s quarterly earnings announcements in his role on a committee of senior executives who reviewed the company’s draft earnings materials prior to their public dissemination.  Using this confidential information, Levoff traded Apple securities ahead of three quarterly earnings announcements in 2015 and 2016 and made approximately $382,000 in combined profits and losses avoided.  The SEC’s complaint alleges that Levoff was responsible for securities laws compliance at Apple, including compliance with insider trading laws.  As part of his...

  • Deloitte Japan charged with violating auditor independence rules Link
    SEC_News Wed 13 Feb 2019 15:37

    The Securities and Exchange Commission today announced that Deloitte Touche Tohmatsu LLC (Deloitte Japan) will pay $2 million to settle charges that it issued audit reports for an audit client at a time when dozens of its employees maintained bank accounts with the client’s subsidiary.  According to the SEC’s order, the accounts had balances that exceeded depositary insurance limits in violation of the SEC audit independence rules.  Deloitte Japan’s former CEO Futomichi Amano and former reputation and risk leader and director of independence Yuji Itagaki settled related charges.

    Under the SEC’s rules, accountants are not considered to be independent if they maintain bank accounts with an audit client with balances greater than FDIC or similar depositary insurance limits.  According to the SEC’s order, Deloitte Japan knew but failed to adequately disclose that Amano maintained bank account balances with the audit client’s subsidiary bank that compromised...

  • Division of Trading and Markets issues notice regarding the delay in the publication in the Federal Register of cer… Link
    SEC_News Wed 13 Feb 2019 13:27

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • Biotech employee pleads guilty to DOJ charges of stock fraud and obstruction of SEC investigation. Case was invest… Link
    SEC_News Tue 12 Feb 2019 21:41

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • RT @SEC_Investor_Ed: Some investment tips never get old. Whether you’re a novice or have been investing for years, here are 10 tips to he…
    SEC_News Tue 12 Feb 2019 17:31
  • .@TheJusticeDept charges biotech company employee to securities fraud in a scheme to defraud investors and manipula… Link
    SEC_News Tue 12 Feb 2019 14:31

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • Chairman Clayton’s Statement on Shareholder Proposals Seeking to Require Mandatory Arbitration Bylaw Provisions Link
    SEC_News Mon 11 Feb 2019 21:40

    The issue of mandatory arbitration provisions in the bylaws of U.S. publicly-listed companies has garnered a great deal of attention.  As I have previously stated, the ability of domestic, publicly-listed companies to require shareholders to arbitrate claims against them arising under the federal securities laws is a complex matter that requires careful consideration.[1] 

    On various occasions, I have been asked about this issue in the hypothetical context of whether the staff of the Division of Corporation Finance would declare effective the registration statement of a domestic company seeking to include mandatory arbitration provisions in its governing documents at the time of its initial public offering.  In response to these inquiries, I stated that, if the issue were to arise in an actual initial public offering of a domestic company, it would not be appropriate for resolution at the staff level but would rather be best addressed in a measured and...

  • Providing your phone number and email address in response to an online investment promotion may make you a target f… Link
    SEC_News Mon 11 Feb 2019 20:20

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • RT @SEC_Investor_Ed: Q: What does it mean to be an accredited investor? A: Link
    SEC_News Mon 11 Feb 2019 16:05
  • Providing your phone number and email address in response to an online investment promotion may make you a target f… Link
    SEC_News Sun 10 Feb 2019 17:24

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • Our guide to initial coin offerings: Link
    SEC_News Sun 10 Feb 2019 15:59

    Companies and individuals are increasingly considering initial coin offerings (ICOs) as a way to raise capital or participate in investment opportunities. While these digital assets and the technology behind them may present a new and efficient means for carrying out financial transactions, they also bring increased risk of fraud and manipulation because the markets for these assets are less regulated than traditional capital markets.

  • Our Office of Compliance Inspections and Examinations maintains a risk-based approach to exams. Here’s what that me… Link
    SEC_News Sat 09 Feb 2019 14:58

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • Considering digital asset investments? Read this first: Link
    SEC_News Fri 08 Feb 2019 15:47

    The SEC’s Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC) Office of Customer Education and Outreach warn investors to watch out for false claims about agency actions and endorsements related to digital assets.  Fraudsters may use false claims to lure investors into purchasing digital assets and to artificially raise their value. “Digital assets” include crypto-currencies, coins, and tokens such as those offered in so called initial coin offerings (ICOs).

    The SEC and CFTC staff are aware of fraudsters making false claims about SEC or CFTC actions and endorsements related to digital assets.  Examples of these false claims may include:

  • SEC charges founder of online gaming company defrauding investors Link
    SEC_News Thu 07 Feb 2019 18:36

    The Securities and Exchange Commission today charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals by selling investments in Kizzang LLC, a purported online gaming business.

    According to the SEC's complaint, among other misrepresentations, Alexander told investors that they would make a minimum of 10 times their investment, Alexander had personally invested millions of dollars in Kizzang, Alexander had made a $50 million charitable donation, and that he had led the creation of a prominent video game. Rather than using investor funds for Kizzang's business, Alexander stole at least $1.3 million, including spending more than $450,000 on gambling sprees. Alexander also used investor funds to finance his daily living and other personal expenses, including credit card bills, shopping and entertainment, and expenses for his daughter, including culinary school tuition and luxury car payments.

    ...
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