The municipal advisory firm and one of its principals charged in a first-of-its-kind case in September is asking a federal court in California to dismiss the lawsuit, arguing that the Securities and ...

The Securities and Exchange Commission (SEC) dismissed proceedings in 42 enforcement cases after disclosing improper staff access to restricted records at the agency occurred on a wider scale than ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

The SEC announced Friday it had dismissed 42 pending enforcement cases after discovering enforcement staff had improper access to materials meant for commission officials ruling on those cases. The ...

A municipal advisory firm and one of its principals charged in a first-of-its-kind Rule G-42 case involving a fee-splitting arrangement has reiterated its request that the federal court in California ...