Published date grouping: December 2021
Date: Dec. 3, 2021
Headline: Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities
Release No.: 2021-251
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act
Release No.: 2021-250
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Charges Pharma CFO and Former Partner with Insider Trading
Release No.: 2021-249
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Charges Latvian Citizen With Digital Asset Fraud
Release No.: 2021-248
Published date grouping: December 2021
Date: Dec. 1, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-247
Published date grouping: November 2021
Date: Nov. 29, 2021
Headline: SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives
Release No.: 2021-246
Published date grouping: November 2021
Date: Nov. 24, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 2
Release No.: 2021-245
Published date grouping: November 2021
Date: Nov. 22, 2021
Headline: SEC Charges Oilfield Services Company and Former CEO With Failing to Disclose Executive Perks and Stock Pledges
Release No.: 2021-244
Published date grouping: November 2021
Date: Nov. 22, 2021
Headline: SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
Release No.: 2021-243
Published date grouping: November 2021
Date: Nov. 19, 2021
Headline: SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets
Release No.: 2021-242
Published date grouping: November 2021
Date: Nov. 19, 2021
Headline: McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic Information
Release No.: 2021-241
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Proposes Updates to Electronic Recordkeeping Requirements
Release No.: 2021-240
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Proposes Rule to Provide Transparency in the Securities Lending Market
Release No.: 2021-239
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Announces Enforcement Results for FY 2021
Release No.: 2021-238
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Charges Promoter with Conducting Cryptocurrency Investment Scams
Release No.: 2021-237
Published date grouping: November 2021
Date: Nov. 17, 2021
Headline: SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.: 2021-236
Published date grouping: November 2021
Date: Nov. 17, 2021
Headline: SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
Release No.: 2021-235
Published date grouping: November 2021
Date: Nov. 15, 2021
Headline: Daniel R. Gregus Named Director of Chicago Office
Release No.: 2021-234
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: Entrepreneurship in Rural and Under-Resourced Areas on Agenda for Small Business Capital Formation Advisory Committee Meeting
Release No.: 2021-233
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers
Release No.: 2021-232
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: Registration of Two Digital Tokens Halted
Release No.: 2021-231
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: SEC Charges Partner at Global Consulting Firm With Insider Trading
Release No.: 2021-230
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures
Release No.: 2021-229
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: SEC Appoints New Chairperson and Board Members to the Public Company Accounting Oversight Board
Release No.: 2021-228
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: Ahmed Abonamah Named Director of Office of Credit Ratings
Release No.: 2021-227
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act
Release No.: 2021-226
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: Nicole Creola Kelly Named Chief of SEC Whistleblower Office
Release No.: 2021-225
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: SEC Wins Jury Trial: Hedge Fund Adviser Found Liable for Securities Fraud
Release No.: 2021-224
Published date grouping: November 2021
Date: Nov. 4, 2021
Headline: SEC Updates Electronic Filing Requirements
Release No.: 2021-223
Published date grouping: November 2021
Date: Nov. 4, 2021
Headline: SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud
Release No.: 2021-222
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Charges Newport Beach Company and its Principals with Operating a $13.5 Million Ponzi-Like Scheme
Release No.: 2021-221
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
Release No.: 2021-220
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies
Release No.: 2021-219
Published date grouping: October 2021
Date: Oct. 28, 2021
Headline: Former Public Affairs Director John Nester to Retire from SEC
Release No.: 2021-218
Published date grouping: October 2021
Date: Oct. 28, 2021
Headline: SEC Charges Financial Adviser With Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins
Release No.: 2021-217
Published date grouping: October 2021
Date: Oct. 27, 2021
Headline: Post-SPAC Music Streaming Company Reaches $38.8 Million Settlement in Ongoing Fraud Action
Release No.: 2021-216
Published date grouping: October 2021
Date: Oct. 26, 2021
Headline: SEC Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committee
Release No.: 2021-215
Published date grouping: October 2021
Date: Oct. 26, 2021
Headline: SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter
Release No.: 2021-214
Published date grouping: October 2021
Date: Oct. 19, 2021
Headline: Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings
Release No.: 2021-213
Published date grouping: October 2021
Date: Oct. 18, 2021
Headline: SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
Release No.: 2021-212
Published date grouping: October 2021
Date: Oct. 15, 2021
Headline: SEC Awards $40 Million to Two Whistleblowers
Release No.: 2021-211
Published date grouping: October 2021
Date: Oct. 14, 2021
Headline: SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Release No.: 2021-210
Published date grouping: October 2021
Date: Oct. 13, 2021
Headline: SEC Modernizes Filing Fee Disclosure and Payment Methods
Release No.: 2021-209
Published date grouping: October 2021
Date: Oct. 5, 2021
Headline: SEC Charges Hemp Company and Co-Founders With Fraud
Release No.: 2021-208
Published date grouping: October 2021
Date: Oct. 4, 2021
Headline: SEC Highlights Investor Protection for World Investor Week 2021
Release No.: 2021-207
Published date grouping: October 2021
Date: Oct. 1, 2021
Headline: SEC Charges Webcast Host for Role in Market Manipulation Scheme
Release No.: 2021-206
Published date grouping: September 2021
Date: Sept. 30, 2021
Headline: SEC Charges Rogue Trader Who Bankrupted His Firm
Release No.: 2021-205
Published date grouping: September 2021
Date: Sept. 30, 2021
Headline: SEC Charges Former Executives of Registered Investment Adviser with Fraud
Release No.: 2021-204
Published date grouping: September 2021
Date: Sept. 29, 2021
Headline: SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze
Release No.: 2021-203
Published date grouping: September 2021
Date: Sept. 29, 2021
Headline: SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
Release No.: 2021-202
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"
Release No.: 2021-201
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud
Release No.: 2021-200
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: SEC Bars Two Individuals from Whistleblower Award Program
Release No.: 2021-199
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC
Release No.: 2021-198
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: Erik Gerding joins Division of Corporation Finance as Deputy Director, Legal and Regulatory Policy
Release No.: 2021-197
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: SEC Charges Florida Payday Lender and CEO with Affinity Fraud Targeting the Venezuelan-American Community
Release No.: 2021-196
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks"
Release No.: 2021-195
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: SEC Delivers Report to Congress with Recommendations from the 40th Annual Small Business Forum
Release No.: 2021-194
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings
Release No.: 2021-193
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Awards Approximately $36 Million to Whistleblower
Release No.: 2021-192
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Charges World's Largest Advertising Group with FCPA Violations
Release No.: 2021-191
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
Release No.: 2021-190
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Principals of Subprime Automobile Finance Company with Fraud
Release No.: 2021-189
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors
Release No.: 2021-188
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme
Release No.: 2021-187
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme
Release No.: 2021-186
Published date grouping: September 2021
Date: Sept. 21, 2021
Headline: SEC Charges Puerto Rican Company and Managing Members with Fraud
Release No.: 2021-185
Published date grouping: September 2021
Date: Sept. 21, 2021
Headline: Changing Dynamics Pre-IPO and Going Public on the Agenda for the SEC’s Small Business Capital Formation Advisory Committee
Release No.: 2021-184
Published date grouping: September 2021
Date: Sept. 20, 2021
Headline: SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings
Release No.: 2021-182
Published date grouping: September 2021
Date: Sept. 19, 2021
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2021-183
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme
Release No.: 2021-181
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: SEC Awards $11.5 Million to Two Whistleblowers
Release No.: 2021-180
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings
Release No.: 2021-179
Published date grouping: September 2021
Date: Sept. 16, 2021
Headline: SEC Charges School District and Former Executive with Misleading Investors in Bond Offering
Release No.: 2021-178
Published date grouping: September 2021
Date: Sept. 15, 2021
Headline: SEC Surpasses $1 Billion in Awards to Whistleblowers with Two Awards Totaling $114 Million
Release No.: 2021-177
Published date grouping: September 2021
Date: Sept. 14, 2021
Headline: SEC Charges App Annie and its Founder with Securities Fraud
Release No.: 2021-176
Published date grouping: September 2021
Date: Sept. 13, 2021
Headline: SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets
Release No.: 2021-175
Published date grouping: September 2021
Date: Sept. 3, 2021
Headline: SEC Charges The Kraft Heinz Company and Two Former Executives for Engaging in Years-Long Accounting Scheme
Release No.: 2021-174
Published date grouping: September 2021
Date: Sept. 2, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely on Sept. 9
Release No.: 2021-173
Published date grouping: September 2021
Date: Sept. 1, 2021
Headline: SEC Charges Global Crypto Lending Platform and Top Executives in $2 Billion Fraud
Release No.: 2021-172
Published date grouping: August 2021
Date: Aug. 31, 2021
Headline: SEC Monitoring Impact of Hurricane Ida on Capital Markets
Release No.: 2021-171
Published date grouping: August 2021
Date: Aug. 31, 2021
Headline: SEC Obtains Emergency Relief, Charges Couple Who Operated $18 Million Ponzi scheme
Release No.: 2021-170
Published date grouping: August 2021
Date: Aug. 30, 2021
Headline: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
Release No.: 2021-169
Published date grouping: August 2021
Date: Aug. 27, 2021
Headline: SEC Issues Whistleblower Awards Totaling $2.6 Million
Release No.: 2021-168
Published date grouping: August 2021
Date: Aug. 27, 2021
Headline: SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology
Release No.: 2021-167
Published date grouping: August 2021
Date: Aug. 26, 2021
Headline: SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
Release No.: 2021-166
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: Chair Gensler Announces Addition of Barbara Roper to Senior Staff
Release No.: 2021-165
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: SEC Charges Former CEO of Technology Company With $80 Million Fraud
Release No.: 2021-164
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme
Release No.: 2021-163
Published date grouping: August 2021
Date: Aug. 24, 2021
Headline: SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative
Release No.: 2021-162
Published date grouping: August 2021
Date: Aug. 23, 2021
Headline: SEC Enforcement Chief Counsel Joe Brenner Retires
Release No.: 2021-161
Published date grouping: August 2021
Date: Aug. 23, 2021
Headline: Fee Rate Advisory #1 for Fiscal Year 2022
Release No.: 2021-160
Published date grouping: August 2021
Date: Aug. 19, 2021
Headline: SEC Enhances Access to Financial Disclosure Data
Release No.: 2021-159
Published date grouping: August 2021
Date: Aug. 18, 2021
Headline: SEC Charges Netflix Insider Trading Ring
Release No.: 2021-158
Published date grouping: August 2021
Date: Aug. 18, 2021
Headline: Sanjay Wadhwa Named Deputy Director of Enforcement Division
Release No.: 2021-157
Published date grouping: August 2021
Date: Aug. 17, 2021
Headline: SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
Release No.: 2021-156
Published date grouping: August 2021
Date: Aug. 17, 2021
Headline: SEC Charges Biopharmaceutical Company Employee with Insider Trading
Release No.: 2021-155
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: SEC Charges Pearson plc for Misleading Investors About Cyber Breach
Release No.: 2021-154
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud
Release No.: 2021-153
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: U.S. Securities and Exchange Commission and the European Central Bank Sign Memorandum of Understanding Regarding Cooperation with Respect to Security-Based Swap Entities
Release No.: 2021-152
Published date grouping: August 2021
Date: Aug. 13, 2021
Headline: SEC Obtains Emergency Relief, Charges Two Florida Companies and their Principal Officer with Operating a Ponzi Scheme
Release No.: 2021-151
Published date grouping: August 2021
Date: Aug. 13, 2021
Headline: SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud
Release No.: 2021-150
Published date grouping: August 2021
Date: Aug. 10, 2021
Headline: SEC Issues Nearly $6 Million in Whistleblower Awards
Release No.: 2021-149
Published date grouping: August 2021
Date: Aug. 9, 2021
Headline: SEC Charges International Microcap Fraud Scheme Participants
Release No.: 2021-148
Published date grouping: August 2021
Date: Aug. 9, 2021
Headline: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange
Release No.: 2021-147
Published date grouping: August 2021
Date: Aug. 6, 2021
Headline: SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-146
Published date grouping: August 2021
Date: Aug. 6, 2021
Headline: SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings
Release No.: 2021-145
Published date grouping: August 2021
Date: Aug. 2, 2021
Headline: SEC Charges Ernst & Young, Three Audit Partners, and Former Public Company CAO with Audit Independence Misconduct
Release No.: 2021-144
Published date grouping: August 2021
Date: Aug. 2, 2021
Headline: SEC Issues Whistleblower Awards Totaling More Than $4 Million
Release No.: 2021-143
Published date grouping: July 2021
Date: July 30, 2021
Headline: SEC Charges Real Estate CEO With Defrauding Investors
Release No.: 2021-142
Published date grouping: July 2021
Date: July 29, 2021
Headline: SEC Charges Founder of Nikola Corp. With Fraud
Release No.: 2021-141
Published date grouping: July 2021
Date: July 28, 2021
Headline: SEC Charges Unlicensed Broker With Defrauding Investors
Release No.: 2021-140
Published date grouping: July 2021
Date: July 26, 2021
Headline: SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
Release No.: 2021-139
Published date grouping: July 2021
Date: July 26, 2021
Headline: SEC Issues Substituted Compliance Determination for France
Release No.: 2021-138
Published date grouping: July 2021
Date: July 22, 2021
Headline: YJ Fischer to Join SEC as Director of the Office of International Affairs
Release No.: 2021-137
Published date grouping: July 2021
Date: July 22, 2021
Headline: SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies
Release No.: 2021-136
Published date grouping: July 2021
Date: July 22, 2021
Headline: SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
Release No.: 2021-135
Published date grouping: July 2021
Date: July 21, 2021
Headline: SEC Awards Nearly $3 Million to Whistleblower
Release No.: 2021-134
Published date grouping: July 2021
Date: July 21, 2021
Headline: SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures
Release No.: 2021-133
Published date grouping: July 2021
Date: July 19, 2021
Headline: SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies
Release No.: 2021-132
Published date grouping: July 2021
Date: July 19, 2021
Headline: SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer
Release No.: 2021-131
Published date grouping: July 2021
Date: July 19, 2021
Headline: UBS Settles Charges Related to Investments in Complex Exchange-Traded Product
Release No.: 2021-130
Published date grouping: July 2021
Date: July 16, 2021
Headline: Chair Gensler Announces Composition of Policy Team
Release No.: 2021-129
Published date grouping: July 2021
Date: July 15, 2021
Headline: SEC Awards More Than $1 Million to Whistleblower
Release No.: 2021-128
Published date grouping: July 2021
Date: July 15, 2021
Headline: SEC Charges Executives of Network Infrastructure Company With Accounting Fraud
Release No.: 2021-127
Published date grouping: July 2021
Date: July 14, 2021
Headline: Daniel S. Kahl Appointed Acting Director of the Division of Examinations; Peter B. Driscoll to Depart Agency
Release No.: 2021-126
Published date grouping: July 2021
Date: July 14, 2021
Headline: ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities
Release No.: 2021-125
Published date grouping: July 2021
Date: July 13, 2021
Headline: SEC Charges SPAC, Sponsor, Merger Target, and CEOs for Misleading Disclosures Ahead of Proposed Business Combination
Release No.: 2021-124
Published date grouping: July 2021
Date: July 13, 2021
Headline: SEC Announces $97 Million Enforcement Action Against TIAA Subsidiary for Violations in Retirement Rollover Recommendations
Release No.: 2021-123
Published date grouping: July 2021
Date: July 9, 2021
Headline: SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web
Release No.: 2021-122
Published date grouping: July 2021
Date: July 9, 2021
Headline: SEC Charges Three Individuals with Insider Trading
Release No.: 2021-121
Published date grouping: July 2021
Date: July 7, 2021
Headline: SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures
Release No.: 2021-120
Published date grouping: July 2021
Date: July 2, 2021
Headline: SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
Release No.: 2021-119
Published date grouping: July 2021
Date: July 2, 2021
Headline: SEC Charges Hedge Fund Trader in Lucrative Front-Running Scheme
Release No.: 2021-118
Published date grouping: June 2021
Date: June 30, 2021
Headline: SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading
Release No.: 2021-117
Published date grouping: June 2021
Date: June 30, 2021
Headline: SEC Engages with Students for Their Perspectives on Emerging Issues
Release No.: 2021-116
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Charges Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds and Misappropriation of Investor Funds
Release No.: 2021-115
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement
Release No.: 2021-114
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer
Release No.: 2021-113
Published date grouping: June 2021
Date: June 25, 2021
Headline: SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme
Release No.: 2021-112
Published date grouping: June 2021
Date: June 25, 2021
Headline: Joint Readout of Principals Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
Release No.: 2021-111
Published date grouping: June 2021
Date: June 24, 2021
Headline: SEC Awards More Than $1 Million to Whistleblower
Release No.: 2021-110
Published date grouping: June 2021
Date: June 23, 2021
Headline: New SEC Public Service Campaign: Investing Regularly Really Adds Up
Release No.: 2021-109
Published date grouping: June 2021
Date: June 22, 2021
Headline: SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering
Release No.: 2021-108
Published date grouping: June 2021
Date: June 21, 2021
Headline: SEC Obtains Asset Freeze Against Offshore Fund and Its Operators
Release No.: 2021-107
Published date grouping: June 2021
Date: June 21, 2021
Headline: SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
Release No.: 2021-106
Published date grouping: June 2021
Date: June 17, 2021
Headline: SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze
Release No.: 2021-105
Published date grouping: June 2021
Date: June 15, 2021
Headline: SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
Release No.: 2021-104
Published date grouping: June 2021
Date: June 15, 2021
Headline: Six Charged in Silicon Valley Insider Trading Ring
Release No.: 2021-103
Published date grouping: June 2021
Date: June 15, 2021
Headline: SEC Charges Issuer With Cybersecurity Disclosure Controls Failures
Release No.: 2021-102
Published date grouping: June 2021
Date: June 14, 2021
Headline: Renee Jones to Join SEC as Director of Corporation Finance; John Coates Named SEC General Counsel
Release No.: 2021-101
Published date grouping: June 2021
Date: June 14, 2021
Headline: SEC Awards Approximately $3 Million to Two Whistleblowers
Release No.: 2021-100
Published date grouping: June 2021
Date: June 11, 2021
Headline: SEC Announces Annual Regulatory Agenda
Release No.: 2021-99
Published date grouping: June 2021
Date: June 11, 2021
Headline: SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
Release No.: 2021-98
Published date grouping: June 2021
Date: June 9, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-97
Published date grouping: June 2021
Date: June 8, 2021
Headline: Gary Gensler Announces Additions to Executive Staff
Release No.: 2021-96
Published date grouping: June 2021
Date: June 8, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely On June 10
Release No.: 2021-95
Published date grouping: June 2021
Date: June 7, 2021
Headline: SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data
Release No.: 2021-94
Published date grouping: June 2021
Date: June 4, 2021
Headline: SEC Announces Removal of William D. Duhnke III from the Public Company Accounting Oversight Board; Duane M. DesParte to Serve as Acting Chair
Release No.: 2021-93
Published date grouping: June 2021
Date: June 3, 2021
Headline: David Saltiel Named SEC Acting Director of Trading and Markets; Christian Sabella Departs the Agency
Release No.: 2021-92
Published date grouping: June 2021
Date: June 2, 2021
Headline: SEC Awards More Than $23 Million to Whistleblowers
Release No.: 2021-91
Published date grouping: May 2021
Date: May 28, 2021
Headline: SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering
Release No.: 2021-90
Published date grouping: May 2021
Date: May 27, 2021
Headline: SEC Charges Mutual Fund Executives with Misleading Investors Regarding Investment Risks in Funds that Suffered $1 Billion Trading Loss
Release No.: 2021-89
Published date grouping: May 2021
Date: May 27, 2021
Headline: SEC Awards More Than $4 Million to Whistleblower
Release No.: 2021-88
Published date grouping: May 2021
Date: May 19, 2021
Headline: SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
Release No.: 2021-87
Published date grouping: May 2021
Date: May 19, 2021
Headline: SEC Awards More Than $28 Million to Whistleblower Who Aided SEC and Other Agency Actions
Release No.: 2021-86
Published date grouping: May 2021
Date: May 17, 2021
Headline: SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-85
Published date grouping: May 2021
Date: May 17, 2021
Headline: SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
Release No.: 2021-84
Published date grouping: May 2021
Date: May 12, 2021
Headline: SEC Awards Approximately $3.6 Million to Whistleblower
Release No.: 2021-83
Published date grouping: May 2021
Date: May 12, 2021
Headline: SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
Release No.: 2021-82
Published date grouping: May 2021
Date: May 10, 2021
Headline: SEC Awards $22 Million to Two Whistleblowers
Release No.: 2021-81
Published date grouping: May 2021
Date: May 7, 2021
Headline: SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR
Release No.: 2021-80
Published date grouping: May 2021
Date: May 5, 2021
Headline: Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap
Release No.: 2021-79
Published date grouping: May 2021
Date: May 3, 2021
Headline: SEC Charges Under Armour Inc. With Disclosure Failures
Release No.: 2021-78
Published date grouping: May 2021
Date: May 3, 2021
Headline: Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis
Release No.: 2021-77
Published date grouping: April 2021
Date: April 29, 2021
Headline: SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT
Release No.: 2021-76
Published date grouping: April 2021
Date: April 28, 2021
Headline: Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement
Release No.: 2021-75
Published date grouping: April 2021
Date: April 26, 2021
Headline: SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme
Release No.: 2021-74
Published date grouping: April 2021
Date: April 26, 2021
Headline: Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30
Release No.: 2021-73
Published date grouping: April 2021
Date: April 26, 2021
Headline: SEC Names Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations
Release No.: 2021-72
Published date grouping: April 2021
Date: April 23, 2021
Headline: SEC Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud
Release No.: 2021-71
Published date grouping: April 2021
Date: April 23, 2021
Headline: SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-70
Published date grouping: April 2021
Date: April 22, 2021
Headline: Alex Oh Named SEC Director of Enforcement
Release No.: 2021-69
Published date grouping: April 2021
Date: April 19, 2021
Headline: Gary Gensler Names Initial Senior Staff Members
Release No.: 2021-68
Published date grouping: April 2021
Date: April 19, 2021
Headline: SEC's New York and San Francisco Regional Offices to Co-Host a Webcast Exploring the Experiences of Tech Entrepreneurs of Color When Capital Raising
Release No.: 2021-67
Published date grouping: April 2021
Date: April 19, 2021
Headline: SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
Release No.: 2021-66
Published date grouping: April 2021
Date: April 17, 2021
Headline: Gary Gensler Sworn in as Member of the SEC
Release No.: 2021-65
Published date grouping: April 2021
Date: April 16, 2021
Headline: SEC Reopens Comment Period for Universal Proxy
Release No.: 2021-64
Published date grouping: April 2021
Date: April 16, 2021
Headline: Joel R. Levin, Director of Chicago Regional Office, to Leave SEC
Release No.: 2021-63
Published date grouping: April 2021
Date: April 15, 2021
Headline: SEC Awards Over $50 Million to Joint Whistleblowers
Release No.: 2021-62
Published date grouping: April 2021
Date: April 14, 2021
Headline: SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud
Release No.: 2021-61
Published date grouping: April 2021
Date: April 9, 2021
Headline: SEC Awards Approximately $2.5 Million to Whistleblower
Release No.: 2021-60
Published date grouping: April 2021
Date: April 8, 2021
Headline: Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency
Release No.: 2021-59
Published date grouping: April 2021
Date: April 6, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges Actor with Operating a $690 Million Ponzi Scheme
Release No.: 2021-58
Published date grouping: April 2021
Date: April 5, 2021
Headline: SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France
Release No.: 2021-57
Published date grouping: April 2021
Date: April 5, 2021
Headline: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures
Release No.: 2021-56
Published date grouping: April 2021
Date: April 5, 2021
Headline: SEC Promotes Investor Awareness During National Financial Capability Month
Release No.: 2021-55
Published date grouping: March 2021
Date: March 29, 2021
Headline: SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awards
Release No.: 2021-54
Published date grouping: March 2021
Date: March 24, 2021
Headline: SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
Release No.: 2021-53
Published date grouping: March 2021
Date: March 22, 2021
Headline: SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues
Release No.: 2021-52
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web
Release No.: 2021-51
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges Colorado Resident with Fraud Involving Sham Bottling Company
Release No.: 2021-50
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges Co-Founders of San Francisco Biotech Company With $60 Million Fraud
Release No.: 2021-49
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges Owner of Real Estate Investment Company with Defrauding Investors
Release No.: 2021-48
Published date grouping: March 2021
Date: March 17, 2021
Headline: SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee
Release No.: 2021-47
Published date grouping: March 2021
Date: March 15, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets
Release No.: 2021-46
Published date grouping: March 2021
Date: March 9, 2021
Headline: SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
Release No.: 2021-45
Published date grouping: March 2021
Date: March 9, 2021
Headline: SEC Awards Approximately $1.5 Million to Whistleblower
Release No.: 2021-44
Published date grouping: March 2021
Date: March 5, 2021
Headline: SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
Release No.: 2021-43
Published date grouping: March 2021
Date: March 4, 2021
Headline: SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Release No.: 2021-42
Published date grouping: March 2021
Date: March 4, 2021
Headline: SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad
Release No.: 2021-41
Published date grouping: March 2021
Date: March 3, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely On March 11
Release No.: 2021-40
Published date grouping: March 2021
Date: March 3, 2021
Headline: SEC Division of Examinations Announces 2021 Examination Priorities
Release No.: 2021-39
Published date grouping: March 2021
Date: March 2, 2021
Headline: SEC Charges Seven Individuals for $45 Million Fraudulent Scheme
Release No.: 2021-38
Published date grouping: March 2021
Date: March 1, 2021
Headline: SEC Awards Over $500,000 to Two Whistleblowers
Release No.: 2021-37
Published date grouping: February 2021
Date: Feb. 26, 2021
Headline: Fee Rate Advisory #3 for Fiscal Year 2021
Release No.: 2021-36
Published date grouping: February 2021
Date: Feb. 26, 2021
Headline: SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
Release No.: 2021-35
Published date grouping: February 2021
Date: Feb. 25, 2021
Headline: SEC Issues Whistleblower Awards Totaling Over $1.7 Million
Release No.: 2021-34
Published date grouping: February 2021
Date: Feb. 24, 2021
Headline: SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks
Release No.: 2021-33
Published date grouping: February 2021
Date: Feb. 23, 2021
Headline: SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College
Release No.: 2021-32
Published date grouping: February 2021
Date: Feb. 23, 2021
Headline: SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ
Release No.: 2021-31
Published date grouping: February 2021
Date: Feb. 19, 2021
Headline: SEC Awards Almost $3 Million Total in Separate Whistleblower Awards
Release No.: 2021-30
Published date grouping: February 2021
Date: Feb. 16, 2021
Headline: SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments
Release No.: 2021-29
Published date grouping: February 2021
Date: Feb. 11, 2021
Headline: SEC Suspends Trading in Inactive Issuer Touted on Social Media
Release No.: 2021-28
Published date grouping: February 2021
Date: Feb. 5, 2021
Headline: Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement
Release No.: 2021-27
Published date grouping: February 2021
Date: Feb. 5, 2021
Headline: Katherine K. Martin, Associate Director in the Office of International Affairs, to leave SEC
Release No.: 2021-26
Published date grouping: February 2021
Date: Feb. 4, 2021
Headline: SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report
Release No.: 2021-25
Published date grouping: February 2021
Date: Feb. 4, 2021
Headline: SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors
Release No.: 2021-24
Published date grouping: February 2021
Date: Feb. 2, 2021
Headline: SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations
Release No.: 2021-23
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: SEC Charges Three Individuals in Digital Asset Frauds
Release No.: 2021-22
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: Acting Chair Allison Herren Lee Announces Executive Staff
Release No.: 2021-21
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: Satyam Khanna Named Senior Policy Advisor for Climate and ESG
Release No.: 2021-20
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: John Coates Named Acting Director of the Division of Corporation Finance
Release No.: 2021-19
Published date grouping: January 2021
Date: Jan. 27, 2021
Headline: SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud
Release No.: 2021-18
Published date grouping: January 2021
Date: Jan. 26, 2021
Headline: Manisha Kimmel to Conclude Tenure as Senior Policy Advisor to the Chair on the Consolidated Audit Trail
Release No.: 2021-17
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Paul Munter Named the SEC’s Acting Chief Accountant
Release No.: 2021-16
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Melissa Hodgman Named Acting Director of Division of Enforcement
Release No.: 2021-15
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets
Release No.: 2021-14
Published date grouping: January 2021
Date: Jan. 21, 2021
Headline: Allison Herren Lee Named Acting Chair of the SEC
Release No.: 2021-13
Published date grouping: January 2021
Date: Jan. 21, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-12
Published date grouping: January 2021
Date: Jan. 19, 2021
Headline: Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure
Release No.: 2021-11
Published date grouping: January 2021
Date: Jan. 19, 2021
Headline: Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service
Release No.: 2021-10
Published date grouping: January 2021
Date: Jan. 15, 2021
Headline: What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4
Release No.: 2021-9
Published date grouping: January 2021
Date: Jan. 15, 2021
Headline: Fee Rate Advisory #2 for Fiscal Year 2021
Release No.: 2021-8
Published date grouping: January 2021
Date: Jan. 14, 2021
Headline: SEC Awards Nearly $600,000 to Whistleblower
Release No.: 2021-7
Published date grouping: January 2021
Date: Jan. 13, 2021
Headline: Sagar Teotia to Conclude Tenure as SEC Chief Accountant
Release No.: 2021-6
Published date grouping: January 2021
Date: Jan. 12, 2021
Headline: Acting Enforcement Director Marc P. Berger to Depart the Commission
Release No.: 2021-5
Published date grouping: January 2021
Date: Jan. 12, 2021
Headline: SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investors
Release No.: 2021-4
Published date grouping: January 2021
Date: Jan. 8, 2021
Headline: SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries
Release No.: 2021-3
Published date grouping: January 2021
Date: Jan. 7, 2021
Headline: SEC Issues Over $1.1 Million to Multiple Whistleblowers
Release No.: 2021-2
Published date grouping: January 2021
Date: Jan. 7, 2021
Headline: Paul G. Cellupica, Division of Investment Management Deputy Director and Chief Counsel to Conclude Tenure at SEC
Release No.: 2021-1
Published date grouping: December 2020
Date: Dec. 30, 2020
Headline: Jed Hickman Named SEC’s EDGAR Business Office Director
Release No.: 2020-344
Published date grouping: December 2020
Date: Dec. 30, 2020
Headline: SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters
Release No.: 2020-343
Published date grouping: December 2020
Date: Dec. 28, 2020
Headline: Elad Roisman Named Acting Chairman of the SEC
Release No.: 2020-342
Published date grouping: December 2020
Date: Dec. 28, 2020
Headline: SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud
Release No.: 2020-341
Published date grouping: December 2020
Date: Dec. 23, 2020
Headline: SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers
Release No.: 2020-340
Published date grouping: December 2020
Date: Dec. 23, 2020
Headline: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure
Release No.: 2020-339
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Charges Ripple and Two Executives with Conducting $1.3 Billion Unregistered Securities Offering
Release No.: 2020-338
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: Charles Koretke Named Managing Executive of Division of Examinations
Release No.: 2020-337
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Proposes Amendments to Rule 144 and Form 144
Release No.: 2020-336
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: Dalia Blass to Conclude Tenure as Director of the Division of Investment Management
Release No.: 2020-335
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Adopts Modernized Marketing Rule for Investment Advisers
Release No.: 2020-334
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Awards Over $1.6 Million to Whistleblower
Release No.: 2020-333
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France
Release No.: 2020-332
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC and CONSOB Sign New Supervisory Cooperation Arrangement
Release No.: 2020-331
Published date grouping: December 2020
Date: Dec. 21, 2020
Headline: SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy
Release No.: 2020-330
Published date grouping: December 2020
Date: Dec. 21, 2020
Headline: SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community
Release No.: 2020-329
Published date grouping: December 2020
Date: Dec. 21, 2020
Headline: S.P. Kothari to Conclude Tenure As SEC Chief Economist and Division of Economic and Risk Analysis Director
Release No.: 2020-328
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device
Release No.: 2020-327
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Releases 2020 Office of Credit Rating Reports
Release No.: 2020-326
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million
Release No.: 2020-325
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: Small Business Advocate Releases Annual Report for Fiscal Year 2020
Release No.: 2020-324
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets
Release No.: 2020-323
Published date grouping: December 2020
Date: Dec. 17, 2020
Headline: SEC Approves 2021 PCAOB Budget and Accounting Support Fee
Release No.: 2020-322
Published date grouping: December 2020
Date: Dec. 17, 2020
Headline: SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution
Release No.: 2020-321
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
Release No.: 2020-320
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges
Release No.: 2020-319
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers
Release No.: 2020-318
Published date grouping: December 2020
Date: Dec. 15, 2020
Headline: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director
Release No.: 2020-317
Published date grouping: December 2020
Date: Dec. 14, 2020
Headline: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
Release No.: 2020-316
Published date grouping: December 2020
Date: Dec. 11, 2020
Headline: SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill
Release No.: 2020-315
Published date grouping: December 2020
Date: Dec. 10, 2020
Headline: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division
Release No.: 2020-314
Published date grouping: December 2020
Date: Dec. 10, 2020
Headline: SEC Staff Supplements Quarterly Private Funds Statistics
Release No.: 2020-313
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
Release No.: 2020-312
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data
Release No.: 2020-311
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: Global Securities Pricing Service to Pay $8 Million for Compliance Failures
Release No.: 2020-310
Published date grouping: December 2020
Date: Dec. 8, 2020
Headline: Robert Stebbins to Conclude Tenure as SEC General Counsel
Release No.: 2020-309
Published date grouping: December 2020
Date: Dec. 8, 2020
Headline: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors
Release No.: 2020-308
Published date grouping: December 2020
Date: Dec. 7, 2020
Headline: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million
Release No.: 2020-307
Published date grouping: December 2020
Date: Dec. 4, 2020
Headline: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
Release No.: 2020-306
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Announces New Investor Advisory Committee Members
Release No.: 2020-305
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: Nekia Hackworth Jones Named Director of Atlanta Regional Office
Release No.: 2020-304
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Announces Office Focused on Innovation and Financial Technology
Release No.: 2020-303
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Modernizes Framework for Fund Valuation Practices
Release No.: 2020-302
Published date grouping: December 2020
Date: Dec. 2, 2020
Headline: Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion
Release No.: 2020-301
Published date grouping: December 2020
Date: Dec. 2, 2020
Headline: SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters
Release No.: 2020-300
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Release No.: 2020-299
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
Release No.: 2020-298
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Awards Over $6 Million to Joint Whistleblowers
Release No.: 2020-297
Published date grouping: November 2020
Date: Nov. 25, 2020
Headline: SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
Release No.: 2020-296
Published date grouping: November 2020
Date: Nov. 24, 2020
Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 3
Release No.: 2020-295
Published date grouping: November 2020
Date: Nov. 24, 2020
Headline: SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
Release No.: 2020-294
Published date grouping: November 2020
Date: Nov. 24, 2020
Headline: SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Release No.: 2020-293
Published date grouping: November 2020
Date: Nov. 23, 2020
Headline: SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC
Release No.: 2020-292
Published date grouping: November 2020
Date: Nov. 23, 2020
Headline: SEC Charges E-Commerce Startup and CEO With Defrauding Investors
Release No.: 2020-291
Published date grouping: November 2020
Date: Nov. 19, 2020
Headline: SEC Adopts Amendments to Modernize and Enhance Management’s Discussion and Analysis and other Financial Disclosures
Release No.: 2020-290
Published date grouping: November 2020
Date: Nov. 19, 2020
Headline: Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office
Release No.: 2020-289
Published date grouping: November 2020
Date: Nov. 19, 2020
Headline: SEC Awards Whistleblower Over $900,000
Release No.: 2020-288
Published date grouping: November 2020
Date: Nov. 18, 2020
Headline: Marie-Louise Huth Named as Associate General Counsel for Legal Policy
Release No.: 2020-287
Published date grouping: November 2020
Date: Nov. 17, 2020
Headline: SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency
Release No.: 2020-286
Published date grouping: November 2020
Date: Nov. 17, 2020
Headline: OECD Working Group on Bribery Issues Report Commending United States for Maintaining Leading Role in the Fight Against Transnational Corruption
Release No.: 2020-285
Published date grouping: November 2020
Date: Nov. 16, 2020
Headline: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End
Release No.: 2020-284
Published date grouping: November 2020
Date: Nov. 13, 2020
Headline: SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis
Release No.: 2020-283
Published date grouping: November 2020
Date: Nov. 13, 2020
Headline: SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products
Release No.: 2020-282
Published date grouping: November 2020
Date: Nov. 13, 2020
Headline: SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric
Release No.: 2020-281
Published date grouping: November 2020
Date: Nov. 12, 2020
Headline: Mike Willis Named Associate Director in Division of Economic and Risk Analysis
Release No.: 2020-280
Published date grouping: November 2020
Date: Nov. 9, 2020
Headline: SEC Publishes Notice of German Substituted Compliance Application and Proposed Order
Release No.: 2020-279
Published date grouping: November 2020
Date: Nov. 5, 2020
Headline: SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards
Release No.: 2020-278
Published date grouping: November 2020
Date: Nov. 4, 2020
Headline: SEC Announces New Asset Management Advisory Committee Member
Release No.: 2020-277
Published date grouping: November 2020
Date: Nov. 3, 2020
Headline: SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee
Release No.: 2020-276
Published date grouping: November 2020
Date: Nov. 3, 2020
Headline: SEC Awards Over $28 Million to Whistleblower
Release No.: 2020-275
Published date grouping: November 2020
Date: Nov. 2, 2020
Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
Release No.: 2020-274
Published date grouping: November 2020
Date: Nov. 2, 2020
Headline: SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework
Release No.: 2020-273
Published date grouping: October 2020
Date: Oct. 29, 2020
Headline: SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee
Release No.: 2020-272
Published date grouping: October 2020
Date: Oct. 29, 2020
Headline: Raquel Fox, Director of the Office of International Affairs, to Depart SEC
Release No.: 2020-271
Published date grouping: October 2020
Date: Oct. 29, 2020
Headline: SEC Awards Over $10 Million to Whistleblower
Release No.: 2020-270
Published date grouping: October 2020
Date: Oct. 28, 2020
Headline: SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
Release No.: 2020-269
Published date grouping: October 2020
Date: Oct. 27, 2020
Headline: Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year
Release No.: 2020-268
Published date grouping: October 2020
Date: Oct. 23, 2020
Headline: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
Release No.: 2020-267
Published date grouping: October 2020
Date: Oct. 22, 2020
Headline: SEC Issues Record $114 Million Whistleblower Award
Release No.: 2020-266
Published date grouping: October 2020
Date: Oct. 22, 2020
Headline: SEC Charges Goldman Sachs With FCPA Violations
Release No.: 2020-265
Published date grouping: October 2020
Date: Oct. 22, 2020
Headline: At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
Release No.: 2020-264
Published date grouping: October 2020
Date: Oct. 22, 2020
Headline: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28
Release No.: 2020-263
Published date grouping: October 2020
Date: Oct. 21, 2020
Headline: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
Release No.: 2020-262
Published date grouping: October 2020
Date: Oct. 16, 2020
Headline: SEC Updates Auditor Independence Rules
Release No.: 2020-261
Published date grouping: October 2020
Date: Oct. 16, 2020
Headline: SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS
Release No.: 2020-260
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: SEC and CFTC to Hold a Joint Open Meeting on October 22
Release No.: 2020-259
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
Release No.: 2020-258
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality
Release No.: 2020-257
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
Release No.: 2020-256
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: SEC Awards $800,000 to Whistleblower
Release No.: 2020-255
Published date grouping: October 2020
Date: Oct. 14, 2020
Headline: SEC Charges Brazilian Meat Producers With FCPA Violations
Release No.: 2020-254
Published date grouping: October 2020
Date: Oct. 13, 2020
Headline: Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program
Release No.: 2020-253
Published date grouping: October 2020
Date: Oct. 13, 2020
Headline: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program
Release No.: 2020-252
Published date grouping: October 2020
Date: Oct. 8, 2020
Headline: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud
Release No.: 2020-251
Published date grouping: October 2020
Date: Oct. 7, 2020
Headline: SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships
Release No.: 2020-250
Published date grouping: October 2020
Date: Oct. 7, 2020
Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually
Release No.: 2020-249
Published date grouping: October 2020
Date: Oct. 7, 2020
Headline: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
Release No.: 2020-248
Published date grouping: October 2020
Date: Oct. 7, 2020
Headline: SEC Updates Regulatory Framework for Fund of Funds Arrangements
Release No.: 2020-247
Published date grouping: October 2020
Date: Oct. 5, 2020
Headline: SEC Charges John McAfee With Fraudulently Touting ICOs
Release No.: 2020-246
Published date grouping: October 2020
Date: Oct. 5, 2020
Headline: SEC Staff Releases Report on U.S. Credit Market Interconnectedness and the Effects of the COVID-19 Economic Shock
Release No.: 2020-245
Published date grouping: October 2020
Date: Oct. 5, 2020
Headline: SEC’s Messages for World Investor Week 2020
Release No.: 2020-244
Published date grouping: October 2020
Date: Oct. 1, 2020
Headline: SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2020-243
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Charges Hospitality Company for Failing to Disclose Executive Perks
Release No.: 2020-242
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Charges HP Inc. With Disclosure Violations and Control Failures
Release No.: 2020-241
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards
Release No.: 2020-240
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Awards Almost $30 Million to Two Insider Whistleblowers
Release No.: 2020-239
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations in Prime Brokerage Swaps Business
Release No.: 2020-238
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud
Release No.: 2020-237
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme
Release No.: 2020-236
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes
Release No.: 2020-235
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors
Release No.: 2020-234
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries
Release No.: 2020-233
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members
Release No.: 2020-232
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider
Release No.: 2020-231
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations
Release No.: 2020-230
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS
Release No.: 2020-229
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: SEC Charges Amazon Finance Manager and Family With Insider Trading
Release No.: 2020-228
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets
Release No.: 2020-227
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative
Release No.: 2020-226
Published date grouping: September 2020
Date: Sept. 25, 2020
Headline: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct
Release No.: 2020-225
Published date grouping: September 2020
Date: Sept. 25, 2020
Headline: SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements
Release No.: 2020-224
Published date grouping: September 2020
Date: Sept. 24, 2020
Headline: SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors
Release No.: 2020-223
Published date grouping: September 2020
Date: Sept. 24, 2020
Headline: Engine Manufacturing Company to Pay Penalty, Take Remedial Measures to Settle Charges of Accounting Fraud
Release No.: 2020-222
Published date grouping: September 2020
Date: Sept. 24, 2020
Headline: SEC Charges Lighting Products Company and Four Executives With Accounting Violations
Release No.: 2020-221
Published date grouping: September 2020
Date: Sept. 23, 2020
Headline: SEC Adopts Amendments to Modernize Shareholder Proposal Rule
Release No.: 2020-220
Published date grouping: September 2020
Date: Sept. 23, 2020
Headline: SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program
Release No.: 2020-219
Published date grouping: September 2020
Date: Sept. 23, 2020
Headline: SEC Obtains Emergency Asset Freeze, Charges Ring of Microcap Stock Manipulators Targeting Retail Investors
Release No.: 2020-218
Published date grouping: September 2020
Date: Sept. 21, 2020
Headline: SEC Charges Index Manager and Friend With Insider Trading
Release No.: 2020-217
Published date grouping: September 2020
Date: Sept. 21, 2020
Headline: SEC Charges Ponzi Scheme Targeting U.S. Military Service Members
Release No.: 2020-216
Published date grouping: September 2020
Date: Sept. 21, 2020
Headline: SEC Issues $2.4 Million Whistleblower Award
Release No.: 2020-215
Published date grouping: September 2020
Date: Sept. 17, 2020
Headline: SEC Awards Almost $250,000 to Joint Whistleblowers
Release No.: 2020-214
Published date grouping: September 2020
Date: Sept. 17, 2020
Headline: SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings
Release No.: 2020-213
Published date grouping: September 2020
Date: Sept. 16, 2020
Headline: SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities
Release No.: 2020-212
Published date grouping: September 2020
Date: Sept. 15, 2020
Headline: Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors
Release No.: 2020-211
Published date grouping: September 2020
Date: Sept. 14, 2020
Headline: SEC Releases Report and Recommendations on the 39th Annual Small Business Forum
Release No.: 2020-210
Published date grouping: September 2020
Date: Sept. 14, 2020
Headline: SEC Awards More Than $10 Million to Whistleblower
Release No.: 2020-209
Published date grouping: September 2020
Date: Sept. 14, 2020
Headline: SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering
Release No.: 2020-208
Published date grouping: September 2020
Date: Sept. 11, 2020
Headline: SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs
Release No.: 2020-207
Published date grouping: September 2020
Date: Sept. 11, 2020
Headline: SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee
Release No.: 2020-206
Published date grouping: September 2020
Date: Sept. 11, 2020
Headline: SEC Modernizes Disclosures for Banking Registrants
Release No.: 2020-205
Published date grouping: September 2020
Date: Sept. 11, 2020
Headline: SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed Investors
Release No.: 2020-204
Published date grouping: September 2020
Date: Sept. 3, 2020
Headline: SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy
Release No.: 2020-203
Published date grouping: September 2020
Date: Sept. 1, 2020
Headline: SEC Investor Advisory Committee to Meet Virtually on September 24
Release No.: 2020-202
Published date grouping: September 2020
Date: Sept. 1, 2020
Headline: SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions
Release No.: 2020-201
Published date grouping: August 2020
Date: Aug. 31, 2020
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2020-200
Published date grouping: August 2020
Date: Aug. 31, 2020
Headline: SEC Awards Over $1.25 Million to Whistleblower
Release No.: 2020-199
Published date grouping: August 2020
Date: Aug. 28, 2020
Headline: SEC Charges Ponzi Scheme Targeting African Immigrants
Release No.: 2020-198
Published date grouping: August 2020
Date: Aug. 28, 2020
Headline: SEC Charges Herbalife With FCPA Violations
Release No.: 2020-197
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: Fee Rate Advisory #1 for Fiscal Year 2021
Release No.: 2020-196
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Charges BorgWarner for Materially Misstating its Financial Statements
Release No.: 2020-195
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Monitoring Impact of Hurricane Laura on Capital Markets
Release No.: 2020-194
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Halts Fraudulent Offering by Florida Investment Adviser
Release No.: 2020-193
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Adopts Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K
Release No.: 2020-192
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Modernizes the Accredited Investor Definition
Release No.: 2020-191
Published date grouping: August 2020
Date: Aug. 25, 2020
Headline: SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations
Release No.: 2020-190
Published date grouping: August 2020
Date: Aug. 21, 2020
Headline: SEC Proposes Data Security Enhancements to the CAT NMS Plan
Release No.: 2020-189
Published date grouping: August 2020
Date: Aug. 19, 2020
Headline: SEC Adopts Requirements to Ensure Public Notice, Comment, and Approval Prior to Effectiveness of NMS Plan Fees
Release No.: 2020-188
Published date grouping: August 2020
Date: Aug. 19, 2020
Headline: Richard R. Best Named Director of SEC's New York Regional Office
Release No.: 2020-187
Published date grouping: August 2020
Date: Aug. 19, 2020
Headline: SEC Names Marc P. Berger as Deputy Director of Enforcement
Release No.: 2020-186
Published date grouping: August 2020
Date: Aug. 18, 2020
Headline: SEC Names Diana Stoltzfus as Deputy Chief Accountant
Release No.: 2020-185
Published date grouping: August 2020
Date: Aug. 17, 2020
Headline: Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners
Release No.: 2020-184
Published date grouping: August 2020
Date: Aug. 13, 2020
Headline: SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations
Release No.: 2020-183
Published date grouping: August 2020
Date: Aug. 13, 2020
Headline: Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten Gains to Harmed Clients
Release No.: 2020-182
Published date grouping: August 2020
Date: Aug. 13, 2020
Headline: SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO
Release No.: 2020-181
Published date grouping: August 2020
Date: Aug. 12, 2020
Headline: Deputy Chief Accountant Marc Panucci to Leave SEC
Release No.: 2020-180
Published date grouping: August 2020
Date: Aug. 11, 2020
Headline: Sebastian Gomez Abero Named Deputy Director of SEC's Small Business Advocacy Office
Release No.: 2020-179
Published date grouping: August 2020
Date: Aug. 10, 2020
Headline: SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports
Release No.: 2020-178
Published date grouping: August 2020
Date: Aug. 6, 2020
Headline: SEC Charges Consumer Loan Company With FCPA Violations
Release No.: 2020-177
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: Lindsay McCord Named Chief Accountant in Division of Corporation Finance
Release No.: 2020-176
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
Release No.: 2020-175
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: Enforcement Co-Director Steven Peikin to Depart
Release No.: 2020-174
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory Committee
Release No.: 2020-173
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and Disclosures
Release No.: 2020-172
Published date grouping: August 2020
Date: Aug. 4, 2020
Headline: SEC Announces New Small Business Capital Formation Advisory Committee Members
Release No.: 2020-171
Published date grouping: August 2020
Date: Aug. 3, 2020
Headline: Scott A. Thompson Named Associate Regional Director in Philadelphia Office
Release No.: 2020-170
Published date grouping: July 2020
Date: July 31, 2020
Headline: Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures
Release No.: 2020-169
Published date grouping: July 2020
Date: July 30, 2020
Headline: SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme
Release No.: 2020-168
Published date grouping: July 2020
Date: July 30, 2020
Headline: SEC Charges CEO and Company With Defrauding First Responders and Others Out of Millions
Release No.: 2020-167
Published date grouping: July 2020
Date: July 29, 2020
Headline: Small Business Capital Formation Advisory Committee Aug. 4 Meeting to Focus on How Capital Markets Are Serving Underrepresented Founders
Release No.: 2020-166
Published date grouping: July 2020
Date: July 28, 2020
Headline: SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director
Release No.: 2020-165
Published date grouping: July 2020
Date: July 28, 2020
Headline: SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators
Release No.: 2020-164
Published date grouping: July 2020
Date: July 24, 2020
Headline: Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act
Release No.: 2020-163
Published date grouping: July 2020
Date: July 24, 2020
Headline: SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud
Release No.: 2020-162
Published date grouping: July 2020
Date: July 22, 2020
Headline: SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information
Release No.: 2020-161
Published date grouping: July 2020
Date: July 20, 2020
Headline: SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors
Release No.: 2020-160
Published date grouping: July 2020
Date: July 20, 2020
Headline: UBS to Pay $10 Million for Violating Rules Which Give Priority To Retail Investors in Municipal Offerings
Release No.: 2020-159
Published date grouping: July 2020
Date: July 20, 2020
Headline: SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors
Release No.: 2020-158
Published date grouping: July 2020
Date: July 17, 2020
Headline: SEC Files Fraud Charges Against Co-Founder of IIG
Release No.: 2020-157
Published date grouping: July 2020
Date: July 16, 2020
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2020-156
Published date grouping: July 2020
Date: July 14, 2020
Headline: SEC Issues $3.8 Million Whistleblower Award
Release No.: 2020-155
Published date grouping: July 2020
Date: July 14, 2020
Headline: SEC Charges Wind Turbine Company and Individuals With Defrauding Investors
Release No.: 2020-154
Published date grouping: July 2020
Date: July 13, 2020
Headline: SEC Charges App Developer for Unregistered Security-Based Swap Transactions
Release No.: 2020-153
Published date grouping: July 2020
Date: July 10, 2020
Headline: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets
Release No.: 2020-152
Published date grouping: July 2020
Date: July 8, 2020
Headline: SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee
Release No.: 2020-151
Published date grouping: July 2020
Date: July 6, 2020
Headline: SEC Adopts Amendments to Exemptive Applications Procedures
Release No.: 2020-150
Published date grouping: July 2020
Date: July 2, 2020
Headline: SEC Charges Alexion Pharmaceuticals With FCPA Violations
Release No.: 2020-149
Published date grouping: July 2020
Date: July 1, 2020
Headline: SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets
Release No.: 2020-148
Published date grouping: June 2020
Date: June 29, 2020
Headline: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers
Release No.: 2020-147
Published date grouping: June 2020
Date: June 26, 2020
Headline: Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges
Release No.: 2020-146
Published date grouping: June 2020
Date: June 25, 2020
Headline: SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin
Release No.: 2020-145
Published date grouping: June 2020
Date: June 25, 2020
Headline: SEC Charges Novartis AG with FCPA Violations
Release No.: 2020-144
Published date grouping: June 2020
Date: June 25, 2020
Headline: Financial Regulators Modify Volcker Rule
Release No.: 2020-143
Published date grouping: June 2020
Date: June 24, 2020
Headline: SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data
Release No.: 2020-142
Published date grouping: June 2020
Date: June 23, 2020
Headline: SEC Awards $125,000 to Whistleblower
Release No.: 2020-141
Published date grouping: June 2020
Date: June 22, 2020
Headline: Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding
Release No.: 2020-140
Published date grouping: June 2020
Date: June 19, 2020
Headline: SEC Extends Relief for Virtual Meetings of Fund Boards
Release No.: 2020-139
Published date grouping: June 2020
Date: June 19, 2020
Headline: SEC Awards Almost $700,000 to Whistleblower
Release No.: 2020-138
Published date grouping: June 2020
Date: June 19, 2020
Headline: SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud
Release No.: 2020-137
Published date grouping: June 2020
Date: June 19, 2020
Headline: Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years
Release No.: 2020-136
Published date grouping: June 2020
Date: June 17, 2020
Headline: Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures
Release No.: 2020-135
Published date grouping: June 2020
Date: June 17, 2020
Headline: SEC Names Jennifer S. Leete as Associate Director in Enforcement Division
Release No.: 2020-134
Published date grouping: June 2020
Date: June 16, 2020
Headline: SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever”
Release No.: 2020-133
Published date grouping: June 2020
Date: June 12, 2020
Headline: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million
Release No.: 2020-132
Published date grouping: June 2020
Date: June 11, 2020
Headline: SEC Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic
Release No.: 2020-131
Published date grouping: June 2020
Date: June 11, 2020
Headline: FinHub to Host Virtual Meet-Ups
Release No.: 2020-130
Published date grouping: June 2020
Date: June 11, 2020
Headline: New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud
Release No.: 2020-129
Published date grouping: June 2020
Date: June 9, 2020
Headline: SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims
Release No.: 2020-128
Published date grouping: June 2020
Date: June 4, 2020
Headline: Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks
Release No.: 2020-127
Published date grouping: June 2020
Date: June 4, 2020
Headline: SEC Awards Record Payout of Nearly $50 Million to Whistleblower
Release No.: 2020-126
Published date grouping: May 2020
Date: May 28, 2020
Headline: SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2020-125
Published date grouping: May 2020
Date: May 28, 2020
Headline: Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors
Release No.: 2020-124
Published date grouping: May 2020
Date: May 26, 2020
Headline: Private Equity Firm Ares Management LLC Charged With Compliance Failures
Release No.: 2020-123
Published date grouping: May 2020
Date: May 22, 2020
Headline: SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund
Release No.: 2020-122
Published date grouping: May 2020
Date: May 22, 2020
Headline: SEC Announces Virtual Conference on Municipal Securities Disclosure
Release No.: 2020-121
Published date grouping: May 2020
Date: May 22, 2020
Headline: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
Release No.: 2020-120
Published date grouping: May 2020
Date: May 21, 2020
Headline: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
Release No.: 2020-119
Published date grouping: May 2020
Date: May 21, 2020
Headline: SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses
Release No.: 2020-118
Published date grouping: May 2020
Date: May 20, 2020
Headline: SEC Announces 2020 Small Business Forum, to Be Held Virtually
Release No.: 2020-117
Published date grouping: May 2020
Date: May 19, 2020
Headline: SEC Staff to Host July 9 Roundtable on Emerging Markets
Release No.: 2020-116
Published date grouping: May 2020
Date: May 18, 2020
Headline: SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
Release No.: 2020-115
Published date grouping: May 2020
Date: May 15, 2020
Headline: SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability
Release No.: 2020-114
Published date grouping: May 2020
Date: May 15, 2020
Headline: SEC Announces New Investor Advisory Committee Members
Release No.: 2020-113
Published date grouping: May 2020
Date: May 15, 2020
Headline: SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations
Release No.: 2020-112
Published date grouping: May 2020
Date: May 14, 2020
Headline: SEC Charges Companies and CEO for Misleading COVID-19 Claims
Release No.: 2020-111
Published date grouping: May 2020
Date: May 12, 2020
Headline: SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud
Release No.: 2020-110
Published date grouping: May 2020
Date: May 12, 2020
Headline: SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients
Release No.: 2020-109
Published date grouping: May 2020
Date: May 11, 2020
Headline: Chairman Jay Clayton Announces Additions to Executive Staff
Release No.: 2020-108
Published date grouping: May 2020
Date: May 11, 2020
Headline: SEC Names John Moses Managing Executive in Chairman’s Office
Release No.: 2020-107
Published date grouping: May 2020
Date: May 11, 2020
Headline: Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency
Release No.: 2020-106
Published date grouping: May 2020
Date: May 7, 2020
Headline: SEC Investor Advisory Committee to Meet Virtually on May 21
Release No.: 2020-105
Published date grouping: May 2020
Date: May 6, 2020
Headline: SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations
Release No.: 2020-104
Published date grouping: May 2020
Date: May 6, 2020
Headline: SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans
Release No.: 2020-103
Published date grouping: May 2020
Date: May 5, 2020
Headline: SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers
Release No.: 2020-102
Published date grouping: May 2020
Date: May 4, 2020
Headline: SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings
Release No.: 2020-101
Published date grouping: May 2020
Date: May 4, 2020
Headline: SEC Awards Almost $2 Million to Whistleblower
Release No.: 2020-100
Published date grouping: April 2020
Date: April 28, 2020
Headline: Small Business Capital Formation Advisory Committee to Discuss the SEC’s Capital Formation Proposal on May 8
Release No.: 2020-99
Published date grouping: April 2020
Date: April 28, 2020
Headline: SEC Awards Over $18 Million to Whistleblower
Release No.: 2020-98
Published date grouping: April 2020
Date: April 28, 2020
Headline: SEC Charges Company and CEO for COVID-19 Scam
Release No.: 2020-97
Published date grouping: April 2020
Date: April 27, 2020
Headline: SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19
Release No.: 2020-96
Published date grouping: April 2020
Date: April 24, 2020
Headline: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group
Release No.: 2020-95
Published date grouping: April 2020
Date: April 24, 2020
Headline: Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office
Release No.: 2020-94
Published date grouping: April 2020
Date: April 21, 2020
Headline: SEC Proposes to Modernize Framework for Fund Valuation Practices
Release No.: 2020-93
Published date grouping: April 2020
Date: April 20, 2020
Headline: SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19
Release No.: 2020-92
Published date grouping: April 2020
Date: April 20, 2020
Headline: SEC Issues $5 Million Whistleblower Award
Release No.: 2020-91
Published date grouping: April 2020
Date: April 17, 2020
Headline: SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors
Release No.: 2020-90
Published date grouping: April 2020
Date: April 16, 2020
Headline: SEC Awards Over $27 Million to Whistleblower
Release No.: 2020-89
Published date grouping: April 2020
Date: April 13, 2020
Headline: SEC Charges Former Financial Services Executive With FCPA Violations
Release No.: 2020-88
Published date grouping: April 2020
Date: April 13, 2020
Headline: Natasha Guinan Named Chief Counsel, Office of the Chief Accountant
Release No.: 2020-87
Published date grouping: April 2020
Date: April 9, 2020
Headline: SEC Enhances Standards for Critical Market Infrastructure
Release No.: 2020-86
Published date grouping: April 2020
Date: April 9, 2020
Headline: Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case
Release No.: 2020-85
Published date grouping: April 2020
Date: April 8, 2020
Headline: SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses
Release No.: 2020-84
Published date grouping: April 2020
Date: April 8, 2020
Headline: In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
Release No.: 2020-83
Published date grouping: April 2020
Date: April 7, 2020
Headline: SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
Release No.: 2020-82
Published date grouping: April 2020
Date: April 6, 2020
Headline: Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data
Release No.: 2020-81
Published date grouping: April 2020
Date: April 3, 2020
Headline: SEC Awards Approximately $2 Million to Whistleblower
Release No.: 2020-80
Published date grouping: April 2020
Date: April 2, 2020
Headline: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period
Release No.: 2020-79
Published date grouping: April 2020
Date: April 1, 2020
Headline: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts
Release No.: 2020-78
Published date grouping: March 2020
Date: March 31, 2020
Headline: SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising
Release No.: 2020-77
Published date grouping: March 2020
Date: March 31, 2020
Headline: SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses
Release No.: 2020-76
Published date grouping: March 2020
Date: March 30, 2020
Headline: SEC Awards $450,000 to Whistleblower
Release No.: 2020-75
Published date grouping: March 2020
Date: March 26, 2020
Headline: SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
Release No.: 2020-74
Published date grouping: March 2020
Date: March 25, 2020
Headline: SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-73
Published date grouping: March 2020
Date: March 24, 2020
Headline: SEC Charges Unregistered Penny Stock Dealer
Release No.: 2020-72
Published date grouping: March 2020
Date: March 24, 2020
Headline: SEC Awards Over $570,000 to Two Whistleblowers
Release No.: 2020-71
Published date grouping: March 2020
Date: March 23, 2020
Headline: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
Release No.: 2020-70
Published date grouping: March 2020
Date: March 23, 2020
Headline: SEC Awards Over $1.6 Million to Whistleblower
Release No.: 2020-69
Published date grouping: March 2020
Date: March 22, 2020
Headline: SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-68
Published date grouping: March 2020
Date: March 21, 2020
Headline: SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
Release No.: 2020-67
Published date grouping: March 2020
Date: March 20, 2020
Headline: SEC Emergency Action Stops Digital Asset Scam
Release No.: 2020-66
Published date grouping: March 2020
Date: March 16, 2020
Headline: Jury Finds Investment Adviser and its Owner Liable for Fraud
Release No.: 2020-65
Published date grouping: March 2020
Date: March 14, 2020
Headline: Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor
Release No.: 2020-64
Published date grouping: March 2020
Date: March 13, 2020
Headline: SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures
Release No.: 2020-63
Published date grouping: March 2020
Date: March 13, 2020
Headline: SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-62
Published date grouping: March 2020
Date: March 13, 2020
Headline: SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
Release No.: 2020-61
Published date grouping: March 2020
Date: March 12, 2020
Headline: SEC Wins Jury Trial Against Microcap Fraudsters
Release No.: 2020-60
Published date grouping: March 2020
Date: March 12, 2020
Headline: Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC
Release No.: 2020-59
Published date grouping: March 2020
Date: March 12, 2020
Headline: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions
Release No.: 2020-58
Published date grouping: March 2020
Date: March 11, 2020
Headline: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.: 2020-57
Published date grouping: March 2020
Date: March 10, 2020
Headline: SEC Halts Fraudulent Offering By Florida Investment Adviser
Release No.: 2020-56
Published date grouping: March 2020
Date: March 9, 2020
Headline: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure
Release No.: 2020-17
Published date grouping: March 2020
Date: March 4, 2020
Headline: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework
Release No.: 2020-55
Published date grouping: March 2020
Date: March 4, 2020
Headline: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs
Release No.: 2020-54
Published date grouping: March 2020
Date: March 4, 2020
Headline: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-53
Published date grouping: March 2020
Date: March 2, 2020
Headline: SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis
Release No.: 2020-52
Published date grouping: March 2020
Date: March 2, 2020
Headline: SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies
Release No.: 2020-51
Published date grouping: March 2020
Date: March 2, 2020
Headline: SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names
Release No.: 2020-50
Published date grouping: February 2020
Date: Feb. 28, 2020
Headline: Fee Rate Advisory #3 For Fiscal Year 2020
Release No.: 2020-49
Published date grouping: February 2020
Date: Feb. 28, 2020
Headline: SEC Charges Cardinal Health With FCPA Violations
Release No.: 2020-48
Published date grouping: February 2020
Date: Feb. 28, 2020
Headline: Antonia Chion, Associate Director of SEC's Enforcement Division, to Retire After 32 Years of Service
Release No.: 2020-47
Published date grouping: February 2020
Date: Feb. 28, 2020
Headline: SEC Awards More Than $7 Million to Whistleblower
Release No.: 2020-46
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: Kelly L. Gibson Named Director of SEC's Philadelphia Office
Release No.: 2020-45
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors
Release No.: 2020-44
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: SEC Charges Wells Fargo In Connection With Investment Recommendation Practices
Release No.: 2020-43
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering
Release No.: 2020-42
Published date grouping: February 2020
Date: Feb. 26, 2020
Headline: G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC
Release No.: 2020-41
Published date grouping: February 2020
Date: Feb. 25, 2020
Headline: EVENT POSTPONED: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Release No.: 2020-40
Published date grouping: February 2020
Date: Feb. 24, 2020
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2020-39
Published date grouping: February 2020
Date: Feb. 21, 2020
Headline: Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit
Release No.: 2020-38
Published date grouping: February 2020
Date: Feb. 19, 2020
Headline: ICO Issuer Settles SEC Registration Charges, Agrees to Return Funds and Register Tokens As Securities
Release No.: 2020-37
Published date grouping: February 2020
Date: Feb. 19, 2020
Headline: SEC Charges Global Alcohol Producer with Disclosure Failures
Release No.: 2020-36
Published date grouping: February 2020
Date: Feb. 18, 2020
Headline: SEC Charges Real Estate Company and Executives With Defrauding Retail Investors, Obtains Emergency Relief
Release No.: 2020-35
Published date grouping: February 2020
Date: Feb. 14, 2020
Headline: SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data
Release No.: 2020-34
Published date grouping: February 2020
Date: Feb. 13, 2020
Headline: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.: 2020-33
Published date grouping: February 2020
Date: Feb. 11, 2020
Headline: SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
Release No.: 2020-32
Published date grouping: February 2020
Date: Feb. 10, 2020
Headline: Paul A. Montoya Named Associate Regional Director in Chicago Office
Release No.: 2020-31
Published date grouping: February 2020
Date: Feb. 7, 2020
Headline: SEC Investor Advisory Committee to Meet on Feb. 27
Release No.: 2020-30
Published date grouping: February 2020
Date: Feb. 6, 2020
Headline: ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs
Release No.: 2020-29
Published date grouping: February 2020
Date: Feb. 6, 2020
Headline: SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2020-28
Published date grouping: February 2020
Date: Feb. 4, 2020
Headline: SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme
Release No.: 2020-27
Published date grouping: January 2020
Date: Jan. 31, 2020
Headline: SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors
Release No.: 2020-26
Published date grouping: January 2020
Date: Jan. 30, 2020
Headline: SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
Release No.: 2020-25
Published date grouping: January 2020
Date: Jan. 30, 2020
Headline: Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule
Release No.: 2020-24
Published date grouping: January 2020
Date: Jan. 28, 2020
Headline: SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee
Release No.: 2020-23
Published date grouping: January 2020
Date: Jan. 28, 2020
Headline: SEC Names Ray McInerney as Freedom of Information Act Officer
Release No.: 2020-22
Published date grouping: January 2020
Date: Jan. 27, 2020
Headline: SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
Release No.: 2020-21
Published date grouping: January 2020
Date: Jan. 27, 2020
Headline: SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
Release No.: 2020-20
Published date grouping: January 2020
Date: Jan. 24, 2020
Headline: SEC Publishes Annual Reports on Credit Rating Agencies
Release No.: 2020-19
Published date grouping: January 2020
Date: Jan. 24, 2020
Headline: SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Release No.: 2020-18
Published date grouping: January 2020
Date: Jan. 23, 2020
Headline: Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud
Release No.: 2020-16
Published date grouping: January 2020
Date: Jan. 22, 2020
Headline: SEC Awards Whistleblowers Whose Information Helped Stop Fraud
Release No.: 2020-15
Published date grouping: January 2020
Date: Jan. 21, 2020
Headline: SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
Release No.: 2020-14
Published date grouping: January 2020
Date: Jan. 17, 2020
Headline: SEC to Report on State of Small Business Capital Formation in the U.S.
Release No.: 2020-13
Published date grouping: January 2020
Date: Jan. 17, 2020
Headline: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity
Release No.: 2020-12
Published date grouping: January 2020
Date: Jan. 16, 2020
Headline: Austin Gerig Named as SEC’s Chief Data Officer
Release No.: 2020-11
Published date grouping: January 2020
Date: Jan. 14, 2020
Headline: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme
Release No.: 2020-10
Published date grouping: January 2020
Date: Jan. 10, 2020
Headline: SEC Names Allen Blume as Deputy Chief Financial Officer
Release No.: 2020-9
Published date grouping: January 2020
Date: Jan. 10, 2020
Headline: SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources
Release No.: 2020-8
Published date grouping: January 2020
Date: Jan. 9, 2020
Headline: Fee Rate Advisory #2 for Fiscal Year 2020
Release No.: 2020-7
Published date grouping: January 2020
Date: Jan. 9, 2020
Headline: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Release No.: 2020-6
Published date grouping: January 2020
Date: Jan. 8, 2020
Headline: SEC Proposes Improvements to Governance of Market Data Plans
Release No.: 2020-5
Published date grouping: January 2020
Date: Jan. 7, 2020
Headline: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
Release No.: 2020-4
Published date grouping: January 2020
Date: Jan. 7, 2020
Headline: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting
Release No.: 2020-3
Published date grouping: January 2020
Date: Jan. 3, 2020
Headline: Longfin CEO Settles Fraud Action
Release No.: 2020-2
Published date grouping: January 2020
Date: Jan. 2, 2020
Headline: SEC Charges Six Individuals in International Microcap Fraud Schemes
Release No.: 2020-1
Published date grouping: December 2019
Date: Dec. 30, 2019
Headline: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
Release No.: 2019-276
Published date grouping: December 2019
Date: Dec. 23, 2019
Headline: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 30 Years of Public Service
Release No.: 2019-275
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Charges Recidivist Investment Adviser With Defrauding Retirees
Release No.: 2019-274
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion
Release No.: 2019-273
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: Small Business Advocate Releases First Annual Report
Release No.: 2019-272
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community
Release No.: 2019-271
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Names David Bottom as Chief Information Officer
Release No.: 2019-270
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: MetLife to Pay $10 Million for Longstanding Internal Control Failures
Release No.: 2019-269
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer
Release No.: 2019-268
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens
Release No.: 2019-267
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Approves 2020 PCAOB Budget and Accounting Support Fee
Release No.: 2019-266
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments
Release No.: 2019-265
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules
Release No.: 2019-264
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
Release No.: 2019-263
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps
Release No.: 2019-262
Published date grouping: December 2019
Date: Dec. 17, 2019
Headline: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring
Release No.: 2019-261
Published date grouping: December 2019
Date: Dec. 16, 2019
Headline: SEC Charges Former Goldman Sachs Executive With FCPA Violations
Release No.: 2019-260
Published date grouping: December 2019
Date: Dec. 11, 2019
Headline: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO
Release No.: 2019-259
Published date grouping: December 2019
Date: Dec. 10, 2019
Headline: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
Release No.: 2019-258
Published date grouping: December 2019
Date: Dec. 9, 2019
Headline: Former Congressman and Two Others Settle Insider Trading Charges
Release No.: 2019-257
Published date grouping: December 2019
Date: Dec. 9, 2019
Headline: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs
Release No.: 2019-256
Published date grouping: December 2019
Date: Dec. 9, 2019
Headline: SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter
Release No.: 2019-255
Published date grouping: December 2019
Date: Dec. 6, 2019
Headline: SEC Charges Multinational Telecommunications Company With FCPA Violations
Release No.: 2019-254
Published date grouping: December 2019
Date: Dec. 5, 2019
Headline: SEC Charges Trucking Executives With Accounting Fraud
Release No.: 2019-253
Published date grouping: December 2019
Date: Dec. 5, 2019
Headline: SEC Releases Report on 38th Annual Small Business Forum
Release No.: 2019-252
Published date grouping: December 2019
Date: Dec. 5, 2019
Headline: SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud
Release No.: 2019-251
Published date grouping: December 2019
Date: Dec. 4, 2019
Headline: SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee
Release No.: 2019-250
Published date grouping: December 2019
Date: Dec. 3, 2019
Headline: SEC Names Paul Munter as Deputy Chief Accountant
Release No.: 2019-249
Published date grouping: December 2019
Date: Dec. 3, 2019
Headline: SEC Names John Vanosdall as Deputy Chief Accountant
Release No.: 2019-248
Published date grouping: December 2019
Date: Dec. 2, 2019
Headline: Kristina Littman Named Chief of the Cyber Unit
Release No.: 2019-247
Published date grouping: November 2019
Date: Nov. 27, 2019
Headline: Chief Administrative Law Judge Brenda Murray to Retire
Release No.: 2019-246
Published date grouping: November 2019
Date: Nov. 27, 2019
Headline: SEC Halts Penny Stock Scheme Targeting Seniors
Release No.: 2019-245
Published date grouping: November 2019
Date: Nov. 26, 2019
Headline: SEC Revokes Registration of Adviser Engaged in $60 Million Fraud
Release No.: 2019-244
Published date grouping: November 2019
Date: Nov. 26, 2019
Headline: SEC Charges Biotech Company and Executives With Accounting Fraud
Release No.: 2019-243
Published date grouping: November 2019
Date: Nov. 25, 2019
Headline: SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies
Release No.: 2019-242
Published date grouping: November 2019
Date: Nov. 25, 2019
Headline: SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud
Release No.: 2019-241
Published date grouping: November 2019
Date: Nov. 20, 2019
Headline: SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets
Release No.: 2019-240
Published date grouping: November 2019
Date: Nov. 19, 2019
Headline: SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners
Release No.: 2019-239
Published date grouping: November 2019
Date: Nov. 15, 2019
Headline: SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud
Release No.: 2019-238
Published date grouping: November 2019
Date: Nov. 13, 2019
Headline: Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
Release No.: 2019-237
Published date grouping: November 2019
Date: Nov. 12, 2019
Headline: SEC Wins Jury Trial in Layering, Manipulative Trading Case
Release No.: 2019-236
Published date grouping: November 2019
Date: Nov. 6, 2019
Headline: SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee
Release No.: 2019-235
Published date grouping: November 2019
Date: Nov. 6, 2019
Headline: SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
Release No.: 2019-234
Published date grouping: November 2019
Date: Nov. 6, 2019
Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
Release No.: 2019-233
Published date grouping: November 2019
Date: Nov. 5, 2019
Headline: SEC Proposes Amendments to Modernize Shareholder Proposal Rule
Release No.: 2019-232
Published date grouping: November 2019
Date: Nov. 5, 2019
Headline: SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
Release No.: 2019-231
Published date grouping: November 2019
Date: Nov. 4, 2019
Headline: SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
Release No.: 2019-230
Published date grouping: November 2019
Date: Nov. 4, 2019
Headline: SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions
Release No.: 2019-229
Published date grouping: November 2019
Date: Nov. 4, 2019
Headline: SEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets
Release No.: 2019-228
Published date grouping: November 2019
Date: Nov. 4, 2019
Headline: SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints
Release No.: 2019-227
Published date grouping: October 2019
Date: Oct. 31, 2019
Headline: SEC Charges International Dealer That Sold Security-Based Swaps to U.S. Investors
Release No.: 2019-226
Published date grouping: October 2019
Date: Oct. 31, 2019
Headline: SEC Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2019-225
Published date grouping: October 2019
Date: Oct. 30, 2019
Headline: SEC to Host Veterans Day Program for Active Duty Service Members and Veterans
Release No.: 2019-224
Published date grouping: October 2019
Date: Oct. 29, 2019
Headline: Natasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program
Release No.: 2019-223
Published date grouping: October 2019
Date: Oct. 28, 2019
Headline: SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud
Release No.: 2019-222
Published date grouping: October 2019
Date: Oct. 24, 2019
Headline: U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network
Release No.: 2019-221
Published date grouping: October 2019
Date: Oct. 22, 2019
Headline: SEC Investor Advisory Committee to Meet on Nov. 7
Release No.: 2019-220
Published date grouping: October 2019
Date: Oct. 18, 2019
Headline: SEC Proposes Amendments to Exemptive Applications Procedures
Release No.: 2019-219
Published date grouping: October 2019
Date: Oct. 17, 2019
Headline: SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs
Release No.: 2019-218
Published date grouping: October 2019
Date: Oct. 17, 2019
Headline: SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities
Release No.: 2019-217
Published date grouping: October 2019
Date: Oct. 16, 2019
Headline: SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme
Release No.: 2019-216
Published date grouping: October 2019
Date: Oct. 15, 2019
Headline: SEC Promotes Teacher Investment Outreach
Release No.: 2019-215
Published date grouping: October 2019
Date: Oct. 15, 2019
Headline: Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs
Release No.: 2019-214
Published date grouping: October 2019
Date: Oct. 15, 2019
Headline: Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service
Release No.: 2019-213
Published date grouping: October 2019
Date: Oct. 11, 2019
Headline: SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering
Release No.: 2019-212
Published date grouping: October 2019
Date: Oct. 11, 2019
Headline: SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB
Release No.: 2019-211
Published date grouping: October 2019
Date: Oct. 11, 2019
Headline: PCAOB Board Member Kathleen Hamm to Complete Term
Release No.: 2019-210
Published date grouping: October 2019
Date: Oct. 11, 2019
Headline: SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud
Release No.: 2019-209
Published date grouping: October 2019
Date: Oct. 9, 2019
Headline: SEC Announces the Formation of Asset Management Advisory Committee
Release No.: 2019-208
Published date grouping: October 2019
Date: Oct. 8, 2019
Headline: Agencies Finalize Changes to Simplify Volcker Rule
Release No.: 2019-207
Published date grouping: October 2019
Date: Oct. 8, 2019
Headline: SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office
Release No.: 2019-206
Published date grouping: October 2019
Date: Oct. 2, 2019
Headline: SEC Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case
Release No.: 2019-205
Published date grouping: October 2019
Date: Oct. 1, 2019
Headline: SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure
Release No.: 2019-204
Published date grouping: October 2019
Date: Oct. 1, 2019
Headline: SEC’s Message for 2019 World Investor Week: Start Early
Release No.: 2019-203
Published date grouping: September 2019
Date: Sept. 30, 2019
Headline: SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO
Release No.: 2019-202
Published date grouping: September 2019
Date: Sept. 30, 2019
Headline: SEC Charges Hedge Fund Adviser and Top Executives With Fraud
Release No.: 2019-201
Published date grouping: September 2019
Date: Sept. 30, 2019
Headline: SEC Orders an Additional 16 Self-Reporting Advisory Firms to Pay Nearly $10 Million to Investors
Release No.: 2019-200
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Two BMO Advisory Firms Pay Over $37 Million to Harmed Clients for Failing to Disclose Conflicts of Interest
Release No.: 2019-199
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2019-198
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations
Release No.: 2019-197
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Automaker to Pay $40 Million for Misleading Investors
Release No.: 2019-196
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Herbalife to Pay $20 Million for Misleading Investors
Release No.: 2019-195
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen
Release No.: 2019-194
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Charges Marketing and Printing Services Provider with FCPA Violations
Release No.: 2019-193
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
Release No.: 2019-192
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options
Release No.: 2019-191
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds
Release No.: 2019-190
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Proposes Amendments to Enhance Retail Investor Protections
Release No.: 2019-189
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Adopts New Rule to Allow All Issuers to “Test-the-Waters”
Release No.: 2019-188
Published date grouping: September 2019
Date: Sept. 24, 2019
Headline: SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information
Release No.: 2019-187
Published date grouping: September 2019
Date: Sept. 24, 2019
Headline: SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud
Release No.: 2019-186
Published date grouping: September 2019
Date: Sept. 23, 2019
Headline: SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes
Release No.: 2019-185
Published date grouping: September 2019
Date: Sept. 23, 2019
Headline: SEC Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
Release No.: 2019-184
Published date grouping: September 2019
Date: Sept. 23, 2019
Headline: SEC Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits
Release No.: 2019-183
Published date grouping: September 2019
Date: Sept. 19, 2019
Headline: SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
Release No.: 2019-182
Published date grouping: September 2019
Date: Sept. 18, 2019
Headline: SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
Release No.: 2019-181
Published date grouping: September 2019
Date: Sept. 18, 2019
Headline: SEC Halts Alleged $125 Million Offering Fraud
Release No.: 2019-180
Published date grouping: September 2019
Date: Sept. 17, 2019
Headline: SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
Release No.: 2019-179
Published date grouping: September 2019
Date: Sept. 17, 2019
Headline: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
Release No.: 2019-178
Published date grouping: September 2019
Date: Sept. 16, 2019
Headline: Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
Release No.: 2019-177
Published date grouping: September 2019
Date: Sept. 16, 2019
Headline: SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
Release No.: 2019-176
Published date grouping: September 2019
Date: Sept. 16, 2019
Headline: SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
Release No.: 2019-175
Published date grouping: September 2019
Date: Sept. 11, 2019
Headline: James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service
Release No.: 2019-174
Published date grouping: September 2019
Date: Sept. 9, 2019
Headline: SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
Release No.: 2019-173
Published date grouping: September 2019
Date: Sept. 9, 2019
Headline: Chandler Smith Costello Named Deputy Director for Public Affairs
Release No.: 2019-172
Published date grouping: September 2019
Date: Sept. 4, 2019
Headline: SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
Release No.: 2019-171
Published date grouping: September 2019
Date: Sept. 3, 2019
Headline: SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
Release No.: 2019-170
Published date grouping: August 2019
Date: Aug. 30, 2019
Headline: SEC Monitoring Impact of Hurricane Dorian on Capital Markets
Release No.: 2019-169
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
Release No.: 2019-168
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players
Release No.: 2019-167
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
Release No.: 2019-166
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Awards More Than $1.8 Million to Whistleblower
Release No.: 2019-165
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
Release No.: 2019-164
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Investor Advisory Committee to Meet on Sept. 19
Release No.: 2019-163
Published date grouping: August 2019
Date: Aug. 27, 2019
Headline: SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud
Release No.: 2019-162
Published date grouping: August 2019
Date: Aug. 27, 2019
Headline: RSM US LLP Charged With Violating Auditor Independence Rules
Release No.: 2019-161
Published date grouping: August 2019
Date: Aug. 23, 2019
Headline: Fee Rate Advisory #1 for Fiscal Year 2020
Release No.: 2019-160
Published date grouping: August 2019
Date: Aug. 21, 2019
Headline: SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme
Release No.: 2019-159
Published date grouping: August 2019
Date: Aug. 21, 2019
Headline: SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
Release No.: 2019-158
Published date grouping: August 2019
Date: Aug. 20, 2019
Headline: SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets
Release No.: 2019-157
Published date grouping: August 2019
Date: Aug. 20, 2019
Headline: SEC Charges TherapeuticsMD With Regulation FD Violations
Release No.: 2019-156
Published date grouping: August 2019
Date: Aug. 16, 2019
Headline: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
Release No.: 2019-155
Published date grouping: August 2019
Date: Aug. 15, 2019
Headline: SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
Release No.: 2019-154
Published date grouping: August 2019
Date: Aug. 15, 2019
Headline: SEC Releases Videos for Investors on Choosing and Working with a Financial Professional
Release No.: 2019-153
Published date grouping: August 2019
Date: Aug. 14, 2019
Headline: SEC Wins Jury Trial Against Broker Charged with Insider Trading
Release No.: 2019-152
Published date grouping: August 2019
Date: Aug. 14, 2019
Headline: SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors
Release No.: 2019-151
Published date grouping: August 2019
Date: Aug. 13, 2019
Headline: SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme
Release No.: 2019-150
Published date grouping: August 2019
Date: Aug. 12, 2019
Headline: SEC Charges Investment Banking Analyst with Insider Trading
Release No.: 2019-149
Published date grouping: August 2019
Date: Aug. 8, 2019
Headline: SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K
Release No.: 2019-148
Published date grouping: August 2019
Date: Aug. 8, 2019
Headline: SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5
Release No.: 2019-147
Published date grouping: August 2019
Date: Aug. 7, 2019
Headline: SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha
Release No.: 2019-146
Published date grouping: August 2019
Date: Aug. 7, 2019
Headline: SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.: 2019-145
Published date grouping: August 2019
Date: Aug. 5, 2019
Headline: SEC Chairman Clayton Announces Event for Main Street Investors in Chicago
Release No.: 2019-144
Published date grouping: August 2019
Date: Aug. 1, 2019
Headline: SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud
Release No.: 2019-143
Published date grouping: July 2019
Date: July 29, 2019
Headline: Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service
Release No.: 2019-142
Published date grouping: July 2019
Date: July 25, 2019
Headline: SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2019-141
Published date grouping: July 2019
Date: July 24, 2019
Headline: Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data
