RCW Staff

SECret Garden: Remarks at SEC Speaks Commissioner Hester Peirce   SEC Speaks 2019 Washington D.C. April 8, 2019 I would like to begin with the ...

Important Issues for Investors in 2019 Rick Fleming, SEC Investor Advocate The SEC Speaks in 2019 Washington D.C. April 8, 2019 Good afternoon. I hope ...

The SEC alleged that instead of investing clients' money, Newsholme cashed their investment checks at a check-cashing store and pocketed the funds while assuring ...

No-action relief granted to ensure the continued availability, following Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by ...

This staff letter ensures that existing regulatory relief provided by DSIO, DMO, and DCR pursuant to certain existing staff letters affecting EU entities continues to ...

Europe and the United States must continue to show the world that we can work together. Europe invented entrepreneurship, and America embraced it. ...

In May 2015, the SEC charged Robert P. DePalo with defrauding over twenty investors by misrepresenting the value of their investments and use of their ...

No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the ...

the court found that the defendants fraudulently solicited and accepted funds from customers for the purported purpose of trading forex. Further, the court found ...

Mizrahi falsely claimed that MBIG used sophisticated trading strategies to generate "guaranteed" returns of between 2-3% per month, the investments were risk-free, and clients would ...