FOR IMMEDIATE RELEASE 2016-175 Washington D.C., Aug. 31, 2016 —The Securities and Exchange Commission today announced that in fiscal year 2017 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $115.90 per million dollars. The securities laws require the Commission to make annual adjustments…

FOR IMMEDIATE RELEASE 2016-174 Washington D.C., Aug. 31, 2016 —The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for causing materially false and misleading disclosures about its valuation analysis in a proxy statement for Rural/Metro Corporation’s sale in 2011 to a private equity firm. RBC…

Amendments Designed to Make it Easier for Investors and Companies to Access Information FOR IMMEDIATE RELEASE 2016-176 Washington D.C., Aug. 31, 2016 —The Securities and Exchange Commission today proposed rule and form amendments that would require registrants to include a hyperlink to exhibits in their filings. “The proposed changes should make it significantly easier to…

FOR IMMEDIATE RELEASE 2016-165 Washington D.C., Aug. 23, 2016 —The Securities and Exchange Commission today announced that four private equity fund advisers affiliated with Apollo Global Management have agreed to a $52.7 million settlement for misleading fund investors about fees and a loan agreement and failing to supervise a senior partner who charged personal expenses…

FOR IMMEDIATE RELEASE 2016-164 Washington D.C., Aug. 16, 2016 —The Securities and Exchange Commission today announced that a California-based health insurance provider has agreed to pay a $340,000 penalty for illegally using severance agreements requiring outgoing employees to waive their ability to obtain monetary awards from the SEC’s whistleblower program. According to the SEC’s order,…

FOR IMMEDIATE RELEASE 2016-163 Washington D.C., Aug. 16, 2016 —The Securities and Exchange Commission today announced that the former head trader in residential mortgage-backed securities (RMBS) at Goldman Sachs has agreed to be barred from the securities industry and pay $400,000 to settle charges that he repeatedly misled customers and caused them to pay higher…

FOR IMMEDIATE RELEASE 2016-162 Washington D.C., Aug. 15, 2016 —The Securities and Exchange Commission today announced fraud charges against a hedge fund manager and his firm accused of paying terminally ill individuals to use their names on purportedly joint brokerage accounts so he could purchase investments on behalf of his hedge fund and redeem them…

FOR IMMEDIATE RELEASE 2016-160 Washington D.C., Aug. 11, 2016 —The Securities and Exchange Commission today charged a stockbroker and his friend with participating in an insider trading scheme to profit in advance of two major announcements out of a pharmaceutical company. The SEC alleges that Paul T. Rampoldi coordinated the insider trading with two other…

FOR IMMEDIATE RELEASE 2016-161 Washington D.C., Aug. 11, 2016 —The Securities and Exchange Commission today announced fraud charges against a San Francisco man and his investment advisory firm accused of pretending to manage millions of dollars in assets and then stealing money from the first client who invested with them based on their misrepresentations. The…

FOR IMMEDIATE RELEASE 2016-159 Washington D.C., Aug. 10, 2016 —The Securities and Exchange Commission today charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with defrauding investors, including coaches he knew from his time playing football for the Fork Union Military Academy and the University of Virginia. The SEC’s complaint, filed in federal…

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