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(The Center Square) – The Securities and Exchange Commission charged Exelon Corp., electric utility Commonwealth Edison Company and former ComEd CEO Anne Pramaggiore with fraud in connection with a multi-year
(The Center Square) – The Securities and Exchange Commission charged Exelon Corp., electric utility Commonwealth Edison Company and former ComEd CEO Anne Pramaggiore with fraud in connection with a multi-year scheme to corruptly influe...
The SEC recently brought its first ever enforcement actions for violating its limited offering exemption, and market participants are beginning to tighten up their policies and procedures in response.
The SEC has charged Chicago-based broker-dealer Loop Capital with providing advice to a municipal entity without registering as a municipal advisor
Unregistered municipal advisor activity and breaches of fiduciary duty remain priorities.