SEC Proposes Amendments to Exemptive Applications Procedures - The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that are substantially identical to recent precedent,...

Ameriprise Hiring Binge - Ameriprise's recruiting streak continues, with the onboarding of nine new advisers. The firm's hiring efforts have boosted headcount to 9,951 advisers for the second quarter from 9,906 from the year-ago period, according to the firm's last...

SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs - The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from 4 - 7 p.m. ET on Thursday, Oct. 24 during homecoming week. The special...

SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities - The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that...

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme - The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against 18 traders in a scheme to manipulate more than 3,000 U.S.-listed securities for over $31 million in illicit profits. The SEC alleges...

Powered by Feed Informer