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Reports of Investigations

Release No. Date Details
34-71390 Jan. 24, 2014 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: KPMG, LLP
34-70148 Aug. 8, 2013 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Eurex Deutschland
34-69516 May 6, 2013 Report of Investigation in the Matter of the City of Harrisburg, Pennsylvania Concerning the Potential Liability of Public Officials with Regard to Disclosure Obligations in the Secondary Market
34-69279 Apr. 2, 2013 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Netflix, Inc., and Reed Hastings
(PDF version)
34-62802 Aug. 31, 2010 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Moody’s Investors Service, Inc.
34-61734 Mar. 18, 2010 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: JP Morgan Securities, Inc.
34-57446 Mar. 6, 2008 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The Retirement Systems of Alabama
34-51283 Mar. 1, 2005 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on potential Exchange Act Section 10(b) and Section 14(a) liability
34-51163 Feb. 9, 2005 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 (“Exchange Act”) Regarding The Nasdaq Stock Market, Inc. (“Nasdaq”), as Overseen By Its Parent, The National Association of Securities Dealers, Inc. (“NASD”)
34-46898 Nov. 25, 2002 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Motorola, Inc.
34-44969 Oct. 23, 2001 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions
34-39157 Sep. 30, 1997 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Concerning the Conduct of Certain Former Officers and Directors of W. R. Grace & Co.
No Release Number Aug. 8, 1996 Report Persuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market
34-36761 Jan. 24, 1996 Report of Investigation in the Matter of County of Orange, California as it Relates to the Conduct of the Members of the Board of Supervisors

 

http://www.sec.gov/litigation/investreports.shtml


Modified: 01/24/2014