RCW Staff
The SEC alleges that Naqvi and his firm raised money for the Abraaj Growth Markets Health Fund ("Health Fund"), collecting more than $100 million over ...
Rule 15Ba1-5 of the Exchange Act provides that a registered municipal advisor must promptly amend its SEC Form MA-I whenever any information becomes inaccurate for ...
hat is, in large part, why we are here today – to rededicate ourselves, across industry segments, and with academia and financial intermediaries to engage ...
Gonzalo Ortiz, of Hackensack, New Jersey, falsely touted his success in investing in stocks and promised the investor a minimum 50% return in a year, ...
The criminal information against Stancik alleged, among other things, that Stancik: (1) made false representations to his broker-dealer customers as to the use of their ...
At the end of the day, markets exist to serve the need of end users - American families, corporates, municipalities and others. These users are ...
Executive Pay Needs a Transparent Scorecard Commissioner Robert Jackson, Jr. April 10, 2019 Shareholders need to know when CEO comp is tied to disappointing results ...
we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund ...
Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference Chairman Jay Clayton Washington D.C. April 8, 2019 Thank you, Stephanie [Avakian], ...
Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets Commissioner Elad Roisman The SEC Speaks Washington D.C. April 8, 2019 I. Introduction ...