The SEC charged individuals and companies in two fraudulent microcap schemes.
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The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.
SEC Commissioner Hester Peirce offered recommendations to shift the agency's focus from enforcement to compliance.
The SEC called on exchanges and market participants to submit "innovative" proposals intended to improve the secondary market structure for exchange-listed equity securities traded in low volumes.
The SEC charged the former CEO and president of a Nasdaq-traded security technology company and three other individuals in a fraudulent broker bribery scheme. The DOJ filed charges against one of the individuals in a parallel action.