The Securities and Exchange Commission today voted to adopt
rules that require a non-U.S. company that uses personnel located
in a U.S. branch or office to arrange, negotiate, or execute a
security-based swap transaction in...
The Securities and Exchange Commission today announced that C.
Dabney O’Riordan and Alka Patel have been named Associate Directors
for Enforcement in the agency’s Los Angeles Regional Office.
Ms. O’Riordan began working i...
The Securities and Exchange Commission today announced that St.
Louis-based agribusiness Monsanto Company agreed to pay an $80
million penalty and retain an independent compliance consultant to
settle charges that it violat...