Stockbroker Misconduct and Investment Fraud Blog

SEC Plans to Investigate ETFs

SEC Plans to Investigate ETFs

SEC Plans to Investigate ETFs The Securities & Exchange Commission (SEC) announced this week that it plans to look into how exchange-traded funds (ETFs) operate, leading some to believe that new rules and enforcement actions may be on the...

Puerto Rico Defaults on Bond Payment

Puerto Rico Defaults on Bond Payment

Puerto Rico Defaults on Bond Payment Puerto Rico defaulted on nearly $174 million of a $1 billion payment that was due on Monday, January 4, 2016, paying higher-ranking creditors at the expense of lower ranking ones. The island continues to...

SEC Seeking Private Investor Standard Updates

SEC Seeking Private Investor Standard Updates

SEC Seeking Private Investor Standard Updates The Securities & Exchange Commission (SEC) has released a staff report outlining potential changes to the criteria used to determine who can participate in private securities transactions as an...