The SEC’s regulation of the securities markets facilitates capital formation, which helps entrepreneurs start businesses and companies grow. Last year $4.27 trillion was raised in public and private securities offerings, promoting economic growth and job creation.
Washington D.C., Dec. 14, 2018 — The Securities and Exchange Commission today announced that Jeffrey S. Mooney has been named Associate Director of the Office of Clearance and Settlement in the agency’s Division of Trading and Markets. Mr. Mooney joined the SEC staff in 1996 and has served in a variety of roles, most recently as […]
Washington D.C., Dec. 11, 2017 — The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part of a ring that allegedly stole confidential information from investment banks and clients so they could trade in advance of secondary stock offerings. The SEC […]
Washington D.C., Aug. 21, 2017— The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed to establish, maintain, and enforce policies and procedures reasonably designed to prevent the misuse of inside information, including information about […]