Tag Archives: release

CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents

FOR IMMEDIATE RELEASE 2012-65 Washington, D.C., April 16, 2012 – The Committee on Payment and Settlement Systems (CPSS) and the Technical Committee of the International Organization of Securities Commissions (IOSCO) today published the final report on the Principles for Financial … Continue reading

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SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives

FOR IMMEDIATE RELEASE 2012-67 Washington, D.C., April 18, 2012 – The Securities and Exchange Commission today unanimously adopted a new rule to define a series of terms related to the over-the-counter swaps market. The rules, written jointly with the Commodity … Continue reading

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SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation

FOR IMMEDIATE RELEASE 2012-69 Washington, D.C., April 19, 2012 — The Securities and Exchange Commission today announced that Diane C. Blizzard has been named Associate Director for Regulatory Policy and Investment Adviser Regulation in the Division of Investment Management. As … Continue reading

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Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division

FOR IMMEDIATE RELEASE 2012-63 Washington, D.C., April 12, 2012 — The Securities and Exchange Commission today announced that Matthew C. Solomon has been appointed Deputy Chief Litigation Counsel of the Division of Enforcement, where he will assist in the oversight … Continue reading

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SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme

FOR IMMEDIATE RELEASE 2012-66 Washington, D.C., April 16, 2012 – The Securities and Exchange Commission today charged an online brokerage and clearing agency specializing in options and futures as well as four officials at the firm and a customer involved … Continue reading

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SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles

FOR IMMEDIATE RELEASE 2012-64 Washington, D.C., April 13, 2012 –The Securities and Exchange Commission today obtained an emergency court order to halt an ongoing Ponzi scheme that targeted members of the Persian-Jewish community in Los Angeles. The SEC alleges that … Continue reading

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SEC Charges Ponzi Schemer Targeting Church Congregations

FOR IMMEDIATE RELEASE 2012-62 Washington, D.C., April 12, 2012 — The Securities and Exchange Commission today charged a self-described “Social Capitalist” with running a Ponzi scheme that targeted socially-conscious investors in church congregations. Additional Materials SEC Complaint The SEC alleges … Continue reading

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Volcker Rule Conformance Period Clarified

Joint Release Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Deposit Insurance Corporation Office of the Comptroller of the Currency Securities and Exchange Commission   For Immediate Release April 19, 2012   Volcker Rule Conformance … Continue reading

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SEC Charges Ox Trading, optionsXpress, and Former CFO With Registration Violations

FOR IMMEDIATE RELEASE 2012-68 Washington, D.C., April 19, 2012 – The Securities and Exchange Commission today charged a Chicago-based securities dealer affiliated with online brokerage firm optionsXpress with violating the registration provisions of the securities laws when it continued trading … Continue reading

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Egan-Jones Ratings Co. and Sean Egan Charged with Making Material Misrepresentations to SEC

FOR IMMEDIATE RELEASE 2012-75 Washington, D.C., April 24, 2012 — The Securities and Exchange Commission today announced charges against Egan-Jones Ratings Company (EJR) and its owner and president Sean Egan for material misrepresentations and omissions in the company’s July 2008 … Continue reading

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