Tag: projections

In mid-September the Commission settled an action centered on a false claim by a dark pool operator that high frequency traders were not permitted in the venue. In the Matter of Citigroup Global Markets, Inc., Adm. Proc. File No. 3-18766 …

SEC Sanctions Credit Suisse For Inaccurate Marketing Read More »

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The Commission has long encouraged firms and their executives to furnish forward looking information to investors and the markets. The MD&A section of company filings, for example, focuses in part on putting the investor in the seat of the executive …

SEC Sanctions Firm, Executives For Misleading Projections Read More »

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