- Written by Justin Case
Washington, DC - The Securities and Exchange Commission today issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds.
- Written by LER
Washington, DC - The Securities and Exchange Commission today charged two senior executives and their California-based firm with defrauding officers and directors at publicly-traded companies in an elaborate $8 million stock lending scheme.
- Written by JC
Washington, DC - In a ceremony held today at FBI Headquarters, Director Robert S. Mueller, III recognized the recipients of the 2011 Director’s Community Leadership Award. These leaders, selected by their area FBI field offices, have made outstanding contributions to their local communities and demonstrated a commitment to improving the lives of their neighbors.
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