Year: 2010

Efforts to rejuvenate the Enforcement program have focused in part on speed and efficiency. In view of this emphasis, the Commission delegated to the Director of the Division of Enforcement and his senior staff the authority to issue formal orders …

THE IMPACT OF DELEGATING AUTHORITY TO ISSUE A FORMAL ORDER Read More »

The Commission brought an action against a California-based investor relations firm and its principal, alleging violations of Securities Act Sections 17(a) and 17(b) and Exchange Act Section 10(b). SEC v. InvestSource, Inc., Case No. SACV 10-01041 (C.D. Cal. Filed July …

SEC BRINGS TOUTING ACTION AGAINST INVESTOR RELATIONS FIRM Read More »