The Securities and Exchange Commission today instituted settled enforcement actions against two broker-dealers and their CEOs for fraudulent auction practices in the municipal bond market. A supervisor at one of the firms also was charged in the proceedings with supervisory failures.
The Securities and Exchange Commission today announced a new Internet-based initiative to alert investors worldwide about problems with certain unregistered entities engaged in solicitations of securities transactions.
The Securities and Exchange Commission today announced a new Internet-based initiative to alert investors worldwide about problems with certain unregistered entities engaged in solicitations of securities transactions.
The Securities and Exchange Commission today announced the institution of a settled enforcement action against Bristow Group Inc., a Houston-based and New York Stock Exchange-listed helicopter transportation services and oil and gas production facilities operation company, for violations of the Foreign Corrupt Practices Act (FCPA). Among other things, the FCPA prohibits bribery of foreign government officials.