This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.
Washington D.C., Sept. 14, 2018 — The Securities and Exchange Commission today charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13 million of high-risk securities to more than 120 advisory clients – many of whom are current or former teachers or other workers in public education – without disclosing that […]
Gerald Hodgkins, Associate Director of the SEC’s Enforcement Division, to Leave the Agency After 20 Years of Service
Washington D.C., Dec. 21, 2017 — The Securities and Exchange Commission today announced that Gerald W. Hodgkins, an Associate Director of the Division of Enforcement, will leave the agency at the end of this year for private practice. During his tenure of two decades at the SEC, Mr. Hodgkins has overseen more than 100 enforcement […]
Washington D.C., Sept. 11, 2017— The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors. There is no cost to attend the program, which provides an open forum for municipal advisory industry professionals to discuss […]