Tags » Securities Exchange Commission


The SEC recently issued four questions and answers dealing with investor verification.

Question #1

If a purchaser’s annual income is not reported in U.S. dollars, what exchange rate should an issuer use to determine whether the purchaser’s income meets the income test for qualifying as an accredited investor? 670 more words


The Latest Changes at the SEC.

What’s New on the SEC Website


 This provides a daily list of the most recent materials posted to the SEC website. Note that the official release date of a document may differ from the posting date, in which case, the release date is indicated in parentheses.


SEC suspends Medient stock trading

EFFINGHAM COUNTY, Ga. (WJCL) – Medient stock trading was suspended Wednesday on an order from the Securities Exchange Commission after questions began to arise in some of the public information it has been providing. 215 more words


SEC cracks down retaliation on whistle-blower

The Wall Street’s top investigators on Monday charged a hedge fund advisory firm with retaliating against a trader who had reported “potentially illegal” trading activity to the regulators, the first time the SEC has actually brought forward an “anti-retaliation” action.
The Securities…

New research shows it's the type of disclosure -- not the amount -- that counts

Rob Swystun, Pristine Advisers

Is it preferable for a company to disclose as much information as it can to shareholders and the public, regardless of what that information is? 1,119 more words

Investor Relations

Federal appeals court overturns rejection of SEC-Citigroup settlement

The federal appeals court has overturned a judge’s rejection on the $285 million settlement between the Securities Exchange Commission and Citigroup on Wednesday. The court has said that the judge failed to determine the fact that the ruling would “disserve the public interest.”