Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

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Published date grouping
Date
Headline
Release No.
Published date grouping:September 2022 Date: Headline: SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings Release No.:2022-182
Published date grouping:September 2022 Date: Headline: SEC Charges Two Canadian Software Engineers with Insider Trading Release No.:2022-181
Published date grouping:September 2022 Date: Headline: SEC Charges Audit Firm RSM and Three Senior-Level Employees with Failure to Properly Conduct Client Audits Release No.:2022-180
Published date grouping:September 2022 Date: Headline: Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities Release No.:2022-179
Published date grouping:September 2022 Date: Headline: SEC Charges Man for Defrauding Investors out of Millions of Dollars by Posing as Hedge Fund Billionaire Release No.:2022-178
Published date grouping:September 2022 Date: Headline: SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets Release No.:2022-177
Published date grouping:September 2022 Date: Headline: Deloitte’s Chinese Affiliate to Pay $20 Million Penalty for Asking Audit Clients to Conduct Their Own Audit Work Release No.:2022-176
Published date grouping:September 2022 Date: Headline: SEC Charges The Hydrogen Technology Corp. and its Former CEO for Market Manipulation of Crypto Asset Securities Release No.:2022-175
Published date grouping:September 2022 Date: Headline: SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures Release No.:2022-174
Published date grouping:September 2022 Date: Headline: SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act Release No.:2022-173
Published date grouping:September 2022 Date: Headline: SEC Charges Father-Son Duo and Associate in Market Manipulation Schemes Resulting in a New Jersey Deli with a $100 Million Valuation Release No.:2022-172
Published date grouping:September 2022 Date: Headline: SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine Release No.:2022-171
Published date grouping:September 2022 Date: Headline: Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX Release No.:2022-170
Published date grouping:September 2022 Date: Headline: SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading Release No.:2022-169
Published date grouping:September 2022 Date: Headline: Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers Release No.:2022-168
Published date grouping:September 2022 Date: Headline: Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering Release No.:2022-167
Published date grouping:September 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21 Release No.:2022-166
Published date grouping:September 2022 Date: Headline: Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks Release No.:2022-165
Published date grouping:September 2022 Date: Headline: SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations Release No.:2022-164
Published date grouping:September 2022 Date: Headline: SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule Release No.:2022-163
Published date grouping:September 2022 Date: Headline: SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market Release No.:2022-162
Published date grouping:September 2022 Date: Headline: SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law Release No.:2022-161
Published date grouping:September 2022 Date: Headline: SEC Charges VMware with Misleading Investors by Obscuring Financial Performance Release No.:2022-160
Published date grouping:September 2022 Date: Headline: SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability Release No.:2022-159
Published date grouping:September 2022 Date: Headline: SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services Release No.:2022-158
Published date grouping:September 2022 Date: Headline: SEC Adopts JOBS Act Inflation Adjustments Release No.:2022-157
Published date grouping:September 2022 Date: Headline: SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both Release No.:2022-156
Published date grouping:September 2022 Date: Headline: SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest Release No.:2022-155
Published date grouping:September 2022 Date: Headline: SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees Release No.:2022-154
Published date grouping:August 2022 Date: Headline: SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million Release No.:2022-153
Published date grouping:August 2022 Date: Headline: SEC Issues First Fee Rate Advisory for Fiscal Year 2023 Release No.:2022-152
Published date grouping:August 2022 Date: Headline: SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips Release No.:2022-151
Published date grouping:August 2022 Date: Headline: SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud Release No.:2022-150
Published date grouping:August 2022 Date: Headline: SEC Adopts Pay Versus Performance Disclosure Rules Release No.:2022-149
Published date grouping:August 2022 Date: Headline: SEC Publishes Draft FY22-26 Strategic Plan for Public Comment Release No.:2022-148
Published date grouping:August 2022 Date: Headline: SEC Charges Barred Broker and His Company with Defrauding Older Americans Release No.:2022-147
Published date grouping:August 2022 Date: Headline: SEC Charges Eagle Bancorp and Former CEO with Failing to Disclose Related Party Loans Release No.:2022-146
Published date grouping:August 2022 Date: Headline: SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts Release No.:2022-145
Published date grouping:August 2022 Date: Headline: SEC Names Monique Winkler as Regional Director of San Francisco Office Release No.:2022-144
Published date grouping:August 2022 Date: Headline: SEC Names Nicholas Grippo as Regional Director of Philadelphia Office Release No.:2022-143
Published date grouping:August 2022 Date: Headline: Lori H. Price Named Director of Office of Credit Ratings Release No.:2022-142
Published date grouping:August 2022 Date: Headline: SEC Proposes to Enhance Private Fund Reporting Release No.:2022-141
Published date grouping:August 2022 Date: Headline: SEC Charges Angel Oak Capital Advisors with Misleading Investors in $90 Million Fix-and-Flip Securitization Release No.:2022-140
Published date grouping:August 2022 Date: Headline: SEC Awards More Than $16 Million to Two Whistleblowers Release No.:2022-139
Published date grouping:August 2022 Date: Headline: SEC Proposes Rules to Improve Clearing Agency Governance and to Mitigate Conflicts of Interest Release No.:2022-138
Published date grouping:August 2022 Date: Headline: SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraud Release No.:2022-137
Published date grouping:August 2022 Date: Headline: SEC Appoints Anthony C. Thompson to Second Term on PCAOB Release No.:2022-136
Published date grouping:August 2022 Date: Headline: SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Register Release No.:2022-135
Published date grouping:August 2022 Date: Headline: SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme Release No.:2022-134
Published date grouping:July 2022 Date: Headline: SEC Re-Proposes Amendments to Exemption From National Securities Association Membership Release No.:2022-133
Published date grouping:July 2022 Date: Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising Release No.:2022-132
Published date grouping:July 2022 Date: Headline: SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft Release No.:2022-131
Published date grouping:July 2022 Date: Headline: SEC Small Business Advisory Committee to Discuss Liquidity Challenges for Investors in Small and Emerging Businesses Release No.:2022-130
Published date grouping:July 2022 Date: Headline: SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center Release No.:2022-129
Published date grouping:July 2022 Date: Headline: SEC Charges Former Indiana Congressman with Insider Trading Release No.:2022-128
Published date grouping:July 2022 Date: Headline: SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action Release No.:2022-127
Published date grouping:July 2022 Date: Headline: SEC Charges Tampa-Based Health Insurance Distributor and its Former CEO with Making False Statements to Investors Release No.:2022-126
Published date grouping:July 2022 Date: Headline: SEC Issues More than $17 Million Award to a Whistleblower Release No.:2022-125
Published date grouping:July 2022 Date: Headline: Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It Provided Misleading Account Statements to Investors Release No.:2022-124
Published date grouping:July 2022 Date: Headline: Jaime Lizárraga Sworn In as SEC Commissioner Release No.:2022-123
Published date grouping:July 2022 Date: Headline: SEC Awards Whistleblowers More Than $6 Million Release No.:2022-122
Published date grouping:July 2022 Date: Headline: SEC Proposes Amendments to Shareholder Proposal Rule Release No.:2022-121
Published date grouping:July 2022 Date: Headline: SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice Release No.:2022-120
Published date grouping:June 2022 Date: Headline: SEC Charges Empires Consulting Corp. with Fake Trading Scheme Release No.:2022-119
Published date grouping:June 2022 Date: Headline: Mark T. Uyeda Sworn In as SEC Commissioner Release No.:2022-118
Published date grouping:June 2022 Date: Headline: UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy Release No.:2022-117
Published date grouping:June 2022 Date: Headline: Denver Regional Director Kurt L. Gottschall to Leave SEC Release No.:2022-116
Published date grouping:June 2022 Date: Headline: Tracy S. Combs Named Director of SEC’s Salt Lake Regional Office Release No.:2022-115
Published date grouping:June 2022 Date: Headline: Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading Investigation Release No.:2022-114
Published date grouping:June 2022 Date: Headline: SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers Release No.:2022-113
Published date grouping:June 2022 Date: Headline: SEC Announces Spring 2022 Regulatory Agenda Release No.:2022-112
Published date grouping:June 2022 Date: Headline: SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations Release No.:2022-111
Published date grouping:June 2022 Date: Headline: SEC Charges Firm and Five Brokers with Violations of Reg BI Release No.:2022-110
Published date grouping:June 2022 Date: Headline: SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers, and Pricing Services Release No.:2022-109
Published date grouping:June 2022 Date: Headline: SEC Charges Rochester, NY, and City’s Former Executives and Municipal Advisor with Misleading Investors Release No.:2022-108
Published date grouping:June 2022 Date: Headline: SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund Release No.:2022-107
Published date grouping:June 2022 Date: Headline: SEC Charges Weiss Asset Management with Short Selling Violations Release No.:2022-106
Published date grouping:June 2022 Date: Headline: SEC Charges Former Employee of Online Gambling Company with Insider Trading Release No.:2022-105
Published date grouping:June 2022 Date: Headline: Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees Release No.:2022-104
Published date grouping:June 2022 Date: Headline: SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation Release No.:2022-103
Published date grouping:June 2022 Date: Headline: SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct Release No.:2022-102
Published date grouping:June 2022 Date: Headline: SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct Release No.:2022-101
Published date grouping:June 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9 Release No.:2022-100
Published date grouping:June 2022 Date: Headline: SEC Updates Electronic Filing Requirements Release No.:2022-99
Published date grouping:June 2022 Date: Headline: SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act Release No.:2022-98
Published date grouping:June 2022 Date: Headline: SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals Release No.:2022-97
Published date grouping:June 2022 Date: Headline: SEC Announces Eight New Investor Advisory Committee Members Release No.:2022-96
Published date grouping:June 2022 Date: Headline: SEC Launches Game Show-Themed Public Service Campaign Release No.:2022-95
Published date grouping:May 2022 Date: Headline: SEC Charges Company and Former CEO with Misleading Investors about Sale of Covid-19 Test Kits Release No.:2022-94
Published date grouping:May 2022 Date: Headline: SEC Announces Departure of Investor Advocate Rick A. Fleming Release No.:2022-93
Published date grouping:May 2022 Date: Headline: SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices Release No.:2022-92
Published date grouping:May 2022 Date: Headline: SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names Release No.:2022-91
Published date grouping:May 2022 Date: Headline: SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser Release No.:2022-90
Published date grouping:May 2022 Date: Headline: SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities Release No.:2022-89
Published date grouping:May 2022 Date: Headline: SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts Release No.:2022-88
Published date grouping:May 2022 Date: Headline: Richard R. Best Named Director of Division of Examinations Release No.:2022-87
Published date grouping:May 2022 Date: Headline: SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations Release No.:2022-86
Published date grouping:May 2022 Date: Headline: SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations Release No.:2022-85
Published date grouping:May 2022 Date: Headline: SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud Release No.:2022-84
Published date grouping:May 2022 Date: Headline: SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer Release No.:2022-83
Published date grouping:May 2022 Date: Headline: SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS Release No.:2022-82
Published date grouping:May 2022 Date: Headline: SEC Halts Fraudulent Cryptomining and Trading Scheme Release No.:2022-81
Published date grouping:May 2022 Date: Headline: SEC Issues Nearly $3.5 Million Award to Four Whistleblowers Release No.:2022-80
Published date grouping:May 2022 Date: Headline: SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining Release No.:2022-79
Published date grouping:May 2022 Date: Headline: SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit Release No.:2022-78
Published date grouping:May 2022 Date: Headline: OMWI Reports Highlight Progress in Diversity, Equity and Inclusion Release No.:2022-77
Published date grouping:May 2022 Date: Headline: SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts Release No.:2022-76
Published date grouping:April 2022 Date: Headline: SEC Commemorates Financial Capability Month with Robust Slate of Investor Education Events and Resources Release No.:2022-75
Published date grouping:April 2022 Date: Headline: Small Business Advisory Committee to Host Virtual Meeting to Discuss Proposed Rules on Climate Disclosures and SPACs Release No.:2022-74
Published date grouping:April 2022 Date: Headline: Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients Release No.:2022-73
Published date grouping:April 2022 Date: Headline: SEC Charges Brazilian Mining Company with Misleading Investors about Safety Prior to Deadly Dam Collapse Release No.:2022-72
Published date grouping:April 2022 Date: Headline: Inspector General Carl W. Hoecker to Retire from SEC Release No.:2022-71
Published date grouping:April 2022 Date: Headline: SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme Release No.:2022-70
Published date grouping:April 2022 Date: Headline: SEC Announces Older Investor Roundtable Event to Be Held April 28 Release No.:2022-69
Published date grouping:April 2022 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2022-68
Published date grouping:April 2022 Date: Headline: SEC Issues $6 Million Award to Five Whistleblowers Release No.:2022-67
Published date grouping:April 2022 Date: Headline: Former Domino’s Pizza Accountant to Pay Nearly $2 Million Penalty for Insider Trading Release No.:2022-66
Published date grouping:April 2022 Date: Headline: SEC Charges Stericycle with Bribery Schemes in Latin America Release No.:2022-65
Published date grouping:April 2022 Date: Headline: Atlanta-Based Pest Control Company, Former CFO Charged with Improper Earnings Management Release No.:2022-64
Published date grouping:April 2022 Date: Headline: SEC Charges Senior Executive of Brazilian Company with Fraud Release No.:2022-63
Published date grouping:April 2022 Date: Headline: SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents Release No.:2022-62
Published date grouping:April 2022 Date: Headline: SEC Obtains TRO and Asset Freeze against Alleged Perpetrators of nearly $450 Million Ponzi Scheme Release No.:2022-61
Published date grouping:April 2022 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2022 Release No.:2022-60
Published date grouping:April 2022 Date: Headline: SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Release No.:2022-59
Published date grouping:April 2022 Date: Headline: SEC: Takeover Bid of Fortune 500 Company was a Sham Release No.:2022-58
Published date grouping:March 2022 Date: Headline: SEC Division of Examinations Announces 2022 Examination Priorities Release No.:2022-57
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules to Enhance Disclosure and Investor Protection Relating to Special Purpose Acquisition Companies, Shell Companies, and Projections Release No.:2022-56
Published date grouping:March 2022 Date: Headline: SEC Charges Seven California Residents in Insider Trading Ring Release No.:2022-55
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” Release No.:2022-54
Published date grouping:March 2022 Date: Headline: SEC to Host Free Virtual Outreach Event to Help Older Adults and Their Caregivers Avoid Financial Fraud Release No.:2022-53
Published date grouping:March 2022 Date: Headline: SEC Awards $1.25 Million to Whistleblower Release No.:2022-52
Published date grouping:March 2022 Date: Headline: San Francisco Regional Director Erin E. Schneider to Leave Agency Release No.:2022-51
Published date grouping:March 2022 Date: Headline: Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar Release No.:2022-50
Published date grouping:March 2022 Date: Headline: SEC Announces New Leadership in Examinations Division and New York Regional Office Release No.:2022-49
Published date grouping:March 2022 Date: Headline: Martha Legg Miller, Director of Small Business Advocate Office, to Leave SEC Release No.:2022-48
Published date grouping:March 2022 Date: Headline: SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M Release No.:2022-47
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors Release No.:2022-46
Published date grouping:March 2022 Date: Headline: SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers Release No.:2022-45
Published date grouping:March 2022 Date: Headline: Dave A. Sanchez to Lead Office of Municipal Securities Release No.:2022-44
Published date grouping:March 2022 Date: Headline: SEC Charges Texas School District and its Former CFO with Fraud in $20 Million Bond Sale Release No.:2022-43
Published date grouping:March 2022 Date: Headline: Register for the SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy Release No.:2022-42
Published date grouping:March 2022 Date: Headline: SEC Charges Call Center Operators in $58 Million Penny Stock Scheme Release No.:2022-41
Published date grouping:March 2022 Date: Headline: SEC Awards Approximately $14 Million to Whistleblower Release No.:2022-40
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies Release No.:2022-39
Published date grouping:March 2022 Date: Headline: SEC Awards More Than $3.5 Million to Whistleblower Release No.:2022-38
Published date grouping:March 2022 Date: Headline: SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos Release No.:2022-37
Published date grouping:March 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10 Release No.:2022-36
Published date grouping:March 2022 Date: Headline: SEC Charges Previously-Barred Investment Adviser with Fraud Release No.:2022-35
Published date grouping:March 2022 Date: Headline: SEC Charges Venture Capital Fund Adviser with Misleading Investors Release No.:2022-34
Published date grouping:March 2022 Date: Headline: City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest Release No.:2022-33
Published date grouping:February 2022 Date: Headline: SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments Release No.:2022-32
Published date grouping:February 2022 Date: Headline: SEC Charges Health Care Co. and Two Former Employees for Accounting Improprieties Release No.:2022-31
Published date grouping:February 2022 Date: Headline: Largest South Korean Telecommunications Co. Agrees to Pay the SEC to Settle FCPA Charges Release No.:2022-30
Published date grouping:February 2022 Date: Headline: SEC Charges Infinity Q Founder with Orchestrating Massive Valuation Fraud Release No.:2022-29
Published date grouping:February 2022 Date: Headline: Rita Sampson Named Director of Office of Equal Employment Opportunity Release No.:2022-28
Published date grouping:February 2022 Date: Headline: SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations Release No.:2022-27
Published date grouping:February 2022 Date: Headline: BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product Release No.:2022-26
Published date grouping:February 2022 Date: Headline: Kelly L. Gibson, Director of the Philadelphia Regional Office, to Leave the SEC; Scott Thompson and Joy Thompson named Office Acting Co-Heads Release No.:2022-25
Published date grouping:February 2022 Date: Headline: SEC Charges Robo-Adviser with Misleading Clients Release No.:2022-24
Published date grouping:February 2022 Date: Headline: SEC Proposed Changes to Two Whistleblower Program Rules Release No.:2022-23
Published date grouping:February 2022 Date: Headline: SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting Release No.:2022-22
Published date grouping:February 2022 Date: Headline: SEC Issues Proposal to Reduce Risks in Clearance and Settlement Release No.:2022-21
Published date grouping:February 2022 Date: Headline: SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds Release No.:2022-20
Published date grouping:February 2022 Date: Headline: SEC Proposes to Enhance Private Fund Investor Protection Release No.:2022-19
Published date grouping:February 2022 Date: Headline: SEC Advisory Committee Meeting to Explore Small Business Investment Issues Release No.:2022-18
Published date grouping:February 2022 Date: Headline: SEC Files Fraud Charges Alleging a Multimillion Dollar Scheme that Targeted Retirement Accounts Release No.:2022-17
Published date grouping:February 2022 Date: Headline: Lori H. Price Named Acting Director of the Office of Credit Ratings; Ahmed Abonamah to Leave SEC Release No.:2022-16
Published date grouping:January 2022 Date: Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Release No.:2022-15
Published date grouping:January 2022 Date: Headline: Remediation Helps Tech Company Avoid Penalties Release No.:2022-14
Published date grouping:January 2022 Date: Headline: Kristin Snyder, Deputy Director of Division of Examinations, to Leave SEC Release No.:2022-13
Published date grouping:January 2022 Date: Headline: LizAnn Eisen Joins Division of Corporation Finance as Deputy Director, Disclosure Program Release No.:2022-12
Published date grouping:January 2022 Date: Headline: SEC Reopens Comment Period for Pay Versus Performance Release No.:2022-11
Published date grouping:January 2022 Date: Headline: SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS Release No.:2022-10
Published date grouping:January 2022 Date: Headline: SEC Proposes Amendments to Enhance Private Fund Reporting Release No.:2022-9
Published date grouping:January 2022 Date: Headline: Former Financial Advisor Charged with Stealing $5.8 Million from Client Release No.:2022-8
Published date grouping:January 2022 Date: Headline: SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers Release No.:2022-7
Published date grouping:January 2022 Date: Headline: SEC Seeks Candidates for Investor Advisory Committee Release No.:2022-6
Published date grouping:January 2022 Date: Headline: SEC Issues Awards Totaling More Than $4 Million to Whistleblowers Release No.:2022-5
Published date grouping:January 2022 Date: Headline: SEC Charges Three Florida Residents in Multi-Million Dollar Insider Trading Scheme Release No.:2022-4
Published date grouping:January 2022 Date: Headline: SEC Charges ICO Issuer and Founder with Defrauding Investors Release No.:2022-3
Published date grouping:January 2022 Date: Headline: SEC Awards Over $13 Million To Whistleblower Release No.:2022-2
Published date grouping:January 2022 Date: Headline: SEC Charges Additional Defendant in Phony Certificates of Deposit Scam Release No.:2022-1
Published date grouping:December 2021 Date: Headline: Chair Gensler Announces Additions to Executive Staff Release No.:2021-270
Published date grouping:December 2021 Date: Headline: SEC Charges Financial Company and Its President with Engaging in Fraudulent Schemes to Boost Stock Price Release No.:2021-269
Published date grouping:December 2021 Date: Headline: William Birdthistle Named Director of Division of Investment Management Release No.:2021-268
Published date grouping:December 2021 Date: Headline: Nikola Corporation to Pay $125 Million to Resolve Fraud Charges Release No.:2021-267
Published date grouping:December 2021 Date: Headline: SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures Release No.:2021-266
Published date grouping:December 2021 Date: Headline: SEC Charges Five Russians in $80 Million Hacking and Trading Scheme Release No.:2021-265
Published date grouping:December 2021 Date: Headline: SEC Charges Clinical Drug Trial Investigator with Insider Trading Release No.:2021-264
Published date grouping:December 2021 Date: Headline: James E. Grimes Named Chief Administrative Law Judge at SEC Release No.:2021-263
Published date grouping:December 2021 Date: Headline: JPMorgan Admits to Widespread Recordkeeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges Release No.:2021-262
Published date grouping:December 2021 Date: Headline: Wedbush Securities Charged with Unregistered Sales of Microcap Securities and Failing to Report Suspicious Transactions Release No.:2021-261
Published date grouping:December 2021 Date: Headline: SEC Approves 2022 PCAOB Budget and Accounting Support Fee Release No.:2021-260
Published date grouping:December 2021 Date: Headline: SEC Proposes Rules to Prevent Fraud in Connection With Security-Based Swaps Transactions, to Prevent Undue Influence over CCOs and to Require Reporting of Large Security-Based Swap Positions Release No.:2021-259
Published date grouping:December 2021 Date: Headline: SEC Proposes Amendments to Money Market Fund Rules Release No.:2021-258
Published date grouping:December 2021 Date: Headline: SEC Proposes New Share Repurchase Disclosure Rules Release No.:2021-257
Published date grouping:December 2021 Date: Headline: SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures Release No.:2021-256
Published date grouping:December 2021 Date: Headline: SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme Release No.:2021-255
Published date grouping:December 2021 Date: Headline: Report From SEC Small Business Advocate Details Capital Raising During Past Year Release No.:2021-254
Published date grouping:December 2021 Date: Headline: SEC Issues Whistleblower Nearly $5 Million Award Release No.:2021-253
Published date grouping:December 2021 Date: Headline: SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme Release No.:2021-252
Published date grouping:December 2021 Date: Headline: Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities Release No.:2021-251
Published date grouping:December 2021 Date: 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: Headline: SEC Charges Pharma CFO and Former Partner with Insider Trading Release No.:2021-249
Published date grouping:December 2021 Date: Headline: SEC Charges Latvian Citizen With Digital Asset Fraud Release No.:2021-248
Published date grouping:December 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-247
Published date grouping:November 2021 Date: Headline: SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives Release No.:2021-246
Published date grouping:November 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 2 Release No.:2021-245
Published date grouping:November 2021 Date: 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: Headline: SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million Release No.:2021-243
Published date grouping:November 2021 Date: Headline: SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets Release No.:2021-242
Published date grouping:November 2021 Date: 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: Headline: SEC Proposes Updates to Electronic Recordkeeping Requirements Release No.:2021-240
Published date grouping:November 2021 Date: Headline: SEC Proposes Rule to Provide Transparency in the Securities Lending Market Release No.:2021-239
Published date grouping:November 2021 Date: Headline: SEC Announces Enforcement Results for FY 2021 Release No.:2021-238
Published date grouping:November 2021 Date: Headline: SEC Charges Promoter with Conducting Cryptocurrency Investment Scams Release No.:2021-237
Published date grouping:November 2021 Date: Headline: SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice Release No.:2021-236
Published date grouping:November 2021 Date: Headline: SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections Release No.:2021-235
Published date grouping:November 2021 Date: Headline: Daniel R. Gregus Named Director of Chicago Office Release No.:2021-234
Published date grouping:November 2021 Date: 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: Headline: SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers Release No.:2021-232
Published date grouping:November 2021 Date: Headline: Registration of Two Digital Tokens Halted Release No.:2021-231
Published date grouping:November 2021 Date: Headline: SEC Charges Partner at Global Consulting Firm With Insider Trading Release No.:2021-230
Published date grouping:November 2021 Date: Headline: SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures Release No.:2021-229
Published date grouping:November 2021 Date: 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: Headline: Ahmed Abonamah Named Director of Office of Credit Ratings Release No.:2021-227
Published date grouping:November 2021 Date: 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: Headline: Nicole Creola Kelly Named Chief of SEC Whistleblower Office Release No.:2021-225
Published date grouping:November 2021 Date: Headline: SEC Wins Jury Trial: Hedge Fund Adviser Found Liable for Securities Fraud Release No.:2021-224
Published date grouping:November 2021 Date: Headline: SEC Updates Electronic Filing Requirements Release No.:2021-223
Published date grouping:November 2021 Date: 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: 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: Headline: SEC Awards More Than $2 Million to Whistleblower for Successful Related Action Release No.:2021-220
Published date grouping:October 2021 Date: Headline: SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies Release No.:2021-219
Published date grouping:October 2021 Date: Headline: Former Public Affairs Director John Nester to Retire from SEC Release No.:2021-218
Published date grouping:October 2021 Date: 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: 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: 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: 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: 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: 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: Headline: SEC Awards $40 Million to Two Whistleblowers Release No.:2021-211
Published date grouping:October 2021 Date: Headline: SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Release No.:2021-210
Published date grouping:October 2021 Date: Headline: SEC Modernizes Filing Fee Disclosure and Payment Methods Release No.:2021-209
Published date grouping:October 2021 Date: Headline: SEC Charges Hemp Company and Co-Founders With Fraud Release No.:2021-208
Published date grouping:October 2021 Date: Headline: SEC Highlights Investor Protection for World Investor Week 2021 Release No.:2021-207
Published date grouping:October 2021 Date: Headline: SEC Charges Webcast Host for Role in Market Manipulation Scheme Release No.:2021-206
Published date grouping:September 2021 Date: Headline: SEC Charges Rogue Trader Who Bankrupted His Firm Release No.:2021-205
Published date grouping:September 2021 Date: Headline: SEC Charges Former Executives of Registered Investment Adviser with Fraud Release No.:2021-204
Published date grouping:September 2021 Date: 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: 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: 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: 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: Headline: SEC Bars Two Individuals from Whistleblower Award Program Release No.:2021-199
Published date grouping:September 2021 Date: Headline: Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC Release No.:2021-198
Published date grouping:September 2021 Date: 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: 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: Headline: SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks" Release No.:2021-195
Published date grouping:September 2021 Date: 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: 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: Headline: SEC Awards Approximately $36 Million to Whistleblower Release No.:2021-192
Published date grouping:September 2021 Date: Headline: SEC Charges World's Largest Advertising Group with FCPA Violations Release No.:2021-191
Published date grouping:September 2021 Date: Headline: SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee Release No.:2021-190
Published date grouping:September 2021 Date: Headline: SEC Charges Principals of Subprime Automobile Finance Company with Fraud Release No.:2021-189
Published date grouping:September 2021 Date: 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: 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: Headline: SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme Release No.:2021-186
Published date grouping:September 2021 Date: Headline: SEC Charges Puerto Rican Company and Managing Members with Fraud Release No.:2021-185
Published date grouping:September 2021 Date: 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: Headline: SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings Release No.:2021-182
Published date grouping:September 2021 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2021-183
Published date grouping:September 2021 Date: Headline: SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme Release No.:2021-181
Published date grouping:September 2021 Date: Headline: SEC Awards $11.5 Million to Two Whistleblowers Release No.:2021-180
Published date grouping:September 2021 Date: 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: Headline: SEC Charges School District and Former Executive with Misleading Investors in Bond Offering Release No.:2021-178
Published date grouping:September 2021 Date: 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: Headline: SEC Charges App Annie and its Founder with Securities Fraud Release No.:2021-176
Published date grouping:September 2021 Date: Headline: SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets Release No.:2021-175
Published date grouping:September 2021 Date: 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: Headline: SEC Investor Advisory Committee to Meet Remotely on Sept. 9 Release No.:2021-173
Published date grouping:September 2021 Date: Headline: SEC Charges Global Crypto Lending Platform and Top Executives in $2 Billion Fraud Release No.:2021-172
Published date grouping:August 2021 Date: Headline: SEC Monitoring Impact of Hurricane Ida on Capital Markets Release No.:2021-171
Published date grouping:August 2021 Date: Headline: SEC Obtains Emergency Relief, Charges Couple Who Operated $18 Million Ponzi scheme Release No.:2021-170
Published date grouping:August 2021 Date: Headline: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures Release No.:2021-169
Published date grouping:August 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling $2.6 Million Release No.:2021-168
Published date grouping:August 2021 Date: 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: 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: Headline: Chair Gensler Announces Addition of Barbara Roper to Senior Staff Release No.:2021-165
Published date grouping:August 2021 Date: Headline: SEC Charges Former CEO of Technology Company With $80 Million Fraud Release No.:2021-164
Published date grouping:August 2021 Date: 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: 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: Headline: SEC Enforcement Chief Counsel Joe Brenner Retires Release No.:2021-161
Published date grouping:August 2021 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2022 Release No.:2021-160
Published date grouping:August 2021 Date: Headline: SEC Enhances Access to Financial Disclosure Data Release No.:2021-159
Published date grouping:August 2021 Date: Headline: SEC Charges Netflix Insider Trading Ring Release No.:2021-158
Published date grouping:August 2021 Date: Headline: Sanjay Wadhwa Named Deputy Director of Enforcement Division Release No.:2021-157
Published date grouping:August 2021 Date: Headline: SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO Release No.:2021-156
Published date grouping:August 2021 Date: Headline: SEC Charges Biopharmaceutical Company Employee with Insider Trading Release No.:2021-155
Published date grouping:August 2021 Date: Headline: SEC Charges Pearson plc for Misleading Investors About Cyber Breach Release No.:2021-154
Published date grouping:August 2021 Date: Headline: SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud Release No.:2021-153
Published date grouping:August 2021 Date: 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: 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: Headline: SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud Release No.:2021-150
Published date grouping:August 2021 Date: Headline: SEC Issues Nearly $6 Million in Whistleblower Awards Release No.:2021-149
Published date grouping:August 2021 Date: Headline: SEC Charges International Microcap Fraud Scheme Participants Release No.:2021-148
Published date grouping:August 2021 Date: Headline: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange Release No.:2021-147
Published date grouping:August 2021 Date: Headline: SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-146
Published date grouping:August 2021 Date: 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: 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: Headline: SEC Issues Whistleblower Awards Totaling More Than $4 Million Release No.:2021-143
Published date grouping:July 2021 Date: Headline: SEC Charges Real Estate CEO With Defrauding Investors Release No.:2021-142
Published date grouping:July 2021 Date: Headline: SEC Charges Founder of Nikola Corp. With Fraud Release No.:2021-141
Published date grouping:July 2021 Date: Headline: SEC Charges Unlicensed Broker With Defrauding Investors Release No.:2021-140
Published date grouping:July 2021 Date: Headline: SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures Release No.:2021-139
Published date grouping:July 2021 Date: Headline: SEC Issues Substituted Compliance Determination for France Release No.:2021-138
Published date grouping:July 2021 Date: Headline: YJ Fischer to Join SEC as Director of the Office of International Affairs Release No.:2021-137
Published date grouping:July 2021 Date: Headline: SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies Release No.:2021-136
Published date grouping:July 2021 Date: Headline: SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors Release No.:2021-135
Published date grouping:July 2021 Date: Headline: SEC Awards Nearly $3 Million to Whistleblower Release No.:2021-134
Published date grouping:July 2021 Date: Headline: SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures Release No.:2021-133
Published date grouping:July 2021 Date: Headline: SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies Release No.:2021-132
Published date grouping:July 2021 Date: Headline: SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer Release No.:2021-131
Published date grouping:July 2021 Date: Headline: UBS Settles Charges Related to Investments in Complex Exchange-Traded Product Release No.:2021-130
Published date grouping:July 2021 Date: Headline: Chair Gensler Announces Composition of Policy Team Release No.:2021-129
Published date grouping:July 2021 Date: Headline: SEC Awards More Than $1 Million to Whistleblower Release No.:2021-128
Published date grouping:July 2021 Date: Headline: SEC Charges Executives of Network Infrastructure Company With Accounting Fraud Release No.:2021-127
Published date grouping:July 2021 Date: 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: Headline: ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities Release No.:2021-125
Published date grouping:July 2021 Date: 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: 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: Headline: SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web Release No.:2021-122
Published date grouping:July 2021 Date: Headline: SEC Charges Three Individuals with Insider Trading Release No.:2021-121
Published date grouping:July 2021 Date: Headline: SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures Release No.:2021-120
Published date grouping:July 2021 Date: Headline: SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee Release No.:2021-119
Published date grouping:July 2021 Date: Headline: SEC Charges Hedge Fund Trader in Lucrative Front-Running Scheme Release No.:2021-118
Published date grouping:June 2021 Date: Headline: SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading Release No.:2021-117
Published date grouping:June 2021 Date: Headline: SEC Engages with Students for Their Perspectives on Emerging Issues Release No.:2021-116
Published date grouping:June 2021 Date: 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: Headline: SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement Release No.:2021-114
Published date grouping:June 2021 Date: Headline: SEC Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer Release No.:2021-113
Published date grouping:June 2021 Date: 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: 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: Headline: SEC Awards More Than $1 Million to Whistleblower Release No.:2021-110
Published date grouping:June 2021 Date: Headline: New SEC Public Service Campaign: Investing Regularly Really Adds Up Release No.:2021-109
Published date grouping:June 2021 Date: Headline: SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering Release No.:2021-108
Published date grouping:June 2021 Date: Headline: SEC Obtains Asset Freeze Against Offshore Fund and Its Operators Release No.:2021-107
Published date grouping:June 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million Release No.:2021-106
Published date grouping:June 2021 Date: Headline: SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze Release No.:2021-105
Published date grouping:June 2021 Date: 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: Headline: Six Charged in Silicon Valley Insider Trading Ring Release No.:2021-103
Published date grouping:June 2021 Date: Headline: SEC Charges Issuer With Cybersecurity Disclosure Controls Failures Release No.:2021-102
Published date grouping:June 2021 Date: 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: Headline: SEC Awards Approximately $3 Million to Two Whistleblowers Release No.:2021-100
Published date grouping:June 2021 Date: Headline: SEC Announces Annual Regulatory Agenda Release No.:2021-99
Published date grouping:June 2021 Date: Headline: SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds Release No.:2021-98
Published date grouping:June 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-97
Published date grouping:June 2021 Date: Headline: Gary Gensler Announces Additions to Executive Staff Release No.:2021-96
Published date grouping:June 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely On June 10 Release No.:2021-95
Published date grouping:June 2021 Date: Headline: SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data Release No.:2021-94
Published date grouping:June 2021 Date: 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: 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: Headline: SEC Awards More Than $23 Million to Whistleblowers Release No.:2021-91
Published date grouping:May 2021 Date: Headline: SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering Release No.:2021-90
Published date grouping:May 2021 Date: 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: Headline: SEC Awards More Than $4 Million to Whistleblower Release No.:2021-88
Published date grouping:May 2021 Date: Headline: SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud Release No.:2021-87
Published date grouping:May 2021 Date: 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: Headline: SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-85
Published date grouping:May 2021 Date: 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: Headline: SEC Awards Approximately $3.6 Million to Whistleblower Release No.:2021-83
Published date grouping:May 2021 Date: Headline: SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports Release No.:2021-82
Published date grouping:May 2021 Date: Headline: SEC Awards $22 Million to Two Whistleblowers Release No.:2021-81
Published date grouping:May 2021 Date: 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: 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: Headline: SEC Charges Under Armour Inc. With Disclosure Failures Release No.:2021-78
Published date grouping:May 2021 Date: 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: Headline: SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT Release No.:2021-76
Published date grouping:April 2021 Date: Headline: Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement Release No.:2021-75
Published date grouping:April 2021 Date: 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: 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: 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: 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: Headline: SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-70
Published date grouping:April 2021 Date: Headline: Alex Oh Named SEC Director of Enforcement Release No.:2021-69
Published date grouping:April 2021 Date: Headline: Gary Gensler Names Initial Senior Staff Members Release No.:2021-68
Published date grouping:April 2021 Date: 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: Headline: SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud Release No.:2021-66
Published date grouping:April 2021 Date: Headline: Gary Gensler Sworn in as Member of the SEC Release No.:2021-65
Published date grouping:April 2021 Date: Headline: SEC Reopens Comment Period for Universal Proxy Release No.:2021-64
Published date grouping:April 2021 Date: Headline: Joel R. Levin, Director of Chicago Regional Office, to Leave SEC Release No.:2021-63
Published date grouping:April 2021 Date: Headline: SEC Awards Over $50 Million to Joint Whistleblowers Release No.:2021-62
Published date grouping:April 2021 Date: Headline: SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud Release No.:2021-61
Published date grouping:April 2021 Date: Headline: SEC Awards Approximately $2.5 Million to Whistleblower Release No.:2021-60
Published date grouping:April 2021 Date: 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: 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: 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: Headline: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures Release No.:2021-56
Published date grouping:April 2021 Date: Headline: SEC Promotes Investor Awareness During National Financial Capability Month Release No.:2021-55
Published date grouping:March 2021 Date: 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: Headline: SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act Release No.:2021-53
Published date grouping:March 2021 Date: 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: Headline: SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web Release No.:2021-51
Published date grouping:March 2021 Date: 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: Headline: SEC Charges Co-Founders of San Francisco Biotech Company With $60 Million Fraud Release No.:2021-49
Published date grouping:March 2021 Date: Headline: SEC Charges Owner of Real Estate Investment Company with Defrauding Investors Release No.:2021-48
Published date grouping:March 2021 Date: Headline: SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee Release No.:2021-47
Published date grouping:March 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets Release No.:2021-46
Published date grouping:March 2021 Date: Headline: SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme Release No.:2021-45
Published date grouping:March 2021 Date: Headline: SEC Awards Approximately $1.5 Million to Whistleblower Release No.:2021-44
Published date grouping:March 2021 Date: 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: Headline: SEC Announces Enforcement Task Force Focused on Climate and ESG Issues Release No.:2021-42
Published date grouping:March 2021 Date: Headline: SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad Release No.:2021-41
Published date grouping:March 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely On March 11 Release No.:2021-40
Published date grouping:March 2021 Date: Headline: SEC Division of Examinations Announces 2021 Examination Priorities Release No.:2021-39
Published date grouping:March 2021 Date: Headline: SEC Charges Seven Individuals for $45 Million Fraudulent Scheme Release No.:2021-38
Published date grouping:March 2021 Date: Headline: SEC Awards Over $500,000 to Two Whistleblowers Release No.:2021-37
Published date grouping:February 2021 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2021 Release No.:2021-36
Published date grouping:February 2021 Date: Headline: SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity Release No.:2021-35
Published date grouping:February 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling Over $1.7 Million Release No.:2021-34
Published date grouping:February 2021 Date: 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: 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: 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: Headline: SEC Awards Almost $3 Million Total in Separate Whistleblower Awards Release No.:2021-30
Published date grouping:February 2021 Date: 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: Headline: SEC Suspends Trading in Inactive Issuer Touted on Social Media Release No.:2021-28
Published date grouping:February 2021 Date: Headline: Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement Release No.:2021-27
Published date grouping:February 2021 Date: 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: 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: Headline: SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors Release No.:2021-24
Published date grouping:February 2021 Date: Headline: SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations Release No.:2021-23
Published date grouping:February 2021 Date: Headline: SEC Charges Three Individuals in Digital Asset Frauds Release No.:2021-22
Published date grouping:February 2021 Date: Headline: Acting Chair Allison Herren Lee Announces Executive Staff Release No.:2021-21
Published date grouping:February 2021 Date: Headline: Satyam Khanna Named Senior Policy Advisor for Climate and ESG Release No.:2021-20
Published date grouping:February 2021 Date: Headline: John Coates Named Acting Director of the Division of Corporation Finance Release No.:2021-19
Published date grouping:January 2021 Date: 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: 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: Headline: Paul Munter Named the SEC’s Acting Chief Accountant Release No.:2021-16
Published date grouping:January 2021 Date: Headline: Melissa Hodgman Named Acting Director of Division of Enforcement Release No.:2021-15
Published date grouping:January 2021 Date: 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: Headline: Allison Herren Lee Named Acting Chair of the SEC Release No.:2021-13
Published date grouping:January 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-12
Published date grouping:January 2021 Date: Headline: Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure Release No.:2021-11
Published date grouping:January 2021 Date: 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: 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: Headline: Fee Rate Advisory #2 for Fiscal Year 2021 Release No.:2021-8
Published date grouping:January 2021 Date: Headline: SEC Awards Nearly $600,000 to Whistleblower Release No.:2021-7
Published date grouping:January 2021 Date: Headline: Sagar Teotia to Conclude Tenure as SEC Chief Accountant Release No.:2021-6
Published date grouping:January 2021 Date: Headline: Acting Enforcement Director Marc P. Berger to Depart the Commission Release No.:2021-5
Published date grouping:January 2021 Date: 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: Headline: SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries Release No.:2021-3
Published date grouping:January 2021 Date: Headline: SEC Issues Over $1.1 Million to Multiple Whistleblowers Release No.:2021-2
Published date grouping:January 2021 Date: 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: Headline: Jed Hickman Named SEC’s EDGAR Business Office Director Release No.:2020-344
Published date grouping:December 2020 Date: 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: Headline: Elad Roisman Named Acting Chairman of the SEC Release No.:2020-342
Published date grouping:December 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud Release No.:2020-341
Published date grouping:December 2020 Date: 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: Headline: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure Release No.:2020-339
Published date grouping:December 2020 Date: 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: Headline: Charles Koretke Named Managing Executive of Division of Examinations Release No.:2020-337
Published date grouping:December 2020 Date: Headline: SEC Proposes Amendments to Rule 144 and Form 144 Release No.:2020-336
Published date grouping:December 2020 Date: Headline: Dalia Blass to Conclude Tenure as Director of the Division of Investment Management Release No.:2020-335
Published date grouping:December 2020 Date: Headline: SEC Adopts Modernized Marketing Rule for Investment Advisers Release No.:2020-334
Published date grouping:December 2020 Date: Headline: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-333
Published date grouping:December 2020 Date: 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: Headline: SEC and CONSOB Sign New Supervisory Cooperation Arrangement Release No.:2020-331
Published date grouping:December 2020 Date: 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: 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: 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: 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: Headline: SEC Releases 2020 Office of Credit Rating Reports Release No.:2020-326
Published date grouping:December 2020 Date: Headline: SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million Release No.:2020-325
Published date grouping:December 2020 Date: Headline: Small Business Advocate Releases Annual Report for Fiscal Year 2020 Release No.:2020-324
Published date grouping:December 2020 Date: 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: Headline: SEC Approves 2021 PCAOB Budget and Accounting Support Fee Release No.:2020-322
Published date grouping:December 2020 Date: 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: Headline: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation Release No.:2020-320
Published date grouping:December 2020 Date: Headline: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges Release No.:2020-319
Published date grouping:December 2020 Date: Headline: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers Release No.:2020-318
Published date grouping:December 2020 Date: Headline: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director Release No.:2020-317
Published date grouping:December 2020 Date: Headline: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities Release No.:2020-316
Published date grouping:December 2020 Date: 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: Headline: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division Release No.:2020-314
Published date grouping:December 2020 Date: Headline: SEC Staff Supplements Quarterly Private Funds Statistics Release No.:2020-313
Published date grouping:December 2020 Date: Headline: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations Release No.:2020-312
Published date grouping:December 2020 Date: 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: Headline: Global Securities Pricing Service to Pay $8 Million for Compliance Failures Release No.:2020-310
Published date grouping:December 2020 Date: Headline: Robert Stebbins to Conclude Tenure as SEC General Counsel Release No.:2020-309
Published date grouping:December 2020 Date: Headline: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors Release No.:2020-308
Published date grouping:December 2020 Date: Headline: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million Release No.:2020-307
Published date grouping:December 2020 Date: Headline: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures Release No.:2020-306
Published date grouping:December 2020 Date: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2020-305
Published date grouping:December 2020 Date: Headline: Nekia Hackworth Jones Named Director of Atlanta Regional Office Release No.:2020-304
Published date grouping:December 2020 Date: Headline: SEC Announces Office Focused on Innovation and Financial Technology Release No.:2020-303
Published date grouping:December 2020 Date: Headline: SEC Modernizes Framework for Fund Valuation Practices Release No.:2020-302
Published date grouping:December 2020 Date: 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: 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: Headline: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality Release No.:2020-299
Published date grouping:December 2020 Date: Headline: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors Release No.:2020-298
Published date grouping:December 2020 Date: Headline: SEC Awards Over $6 Million to Joint Whistleblowers Release No.:2020-297
Published date grouping:November 2020 Date: Headline: SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee Release No.:2020-296
Published date grouping:November 2020 Date: Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 3 Release No.:2020-295
Published date grouping:November 2020 Date: Headline: SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers Release No.:2020-294
Published date grouping:November 2020 Date: 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: 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: Headline: SEC Charges E-Commerce Startup and CEO With Defrauding Investors Release No.:2020-291
Published date grouping:November 2020 Date: 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: 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: Headline: SEC Awards Whistleblower Over $900,000 Release No.:2020-288
Published date grouping:November 2020 Date: Headline: Marie-Louise Huth Named as Associate General Counsel for Legal Policy Release No.:2020-287
Published date grouping:November 2020 Date: Headline: SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency Release No.:2020-286
Published date grouping:November 2020 Date: 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: Headline: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End Release No.:2020-284
Published date grouping:November 2020 Date: Headline: SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis Release No.:2020-283
Published date grouping:November 2020 Date: 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: Headline: SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric Release No.:2020-281
Published date grouping:November 2020 Date: Headline: Mike Willis Named Associate Director in Division of Economic and Risk Analysis Release No.:2020-280
Published date grouping:November 2020 Date: Headline: SEC Publishes Notice of German Substituted Compliance Application and Proposed Order Release No.:2020-279
Published date grouping:November 2020 Date: 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: Headline: SEC Announces New Asset Management Advisory Committee Member Release No.:2020-277
Published date grouping:November 2020 Date: 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: Headline: SEC Awards Over $28 Million to Whistleblower Release No.:2020-275
Published date grouping:November 2020 Date: Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 Release No.:2020-274
Published date grouping:November 2020 Date: Headline: SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework Release No.:2020-273
Published date grouping:October 2020 Date: 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: Headline: Raquel Fox, Director of the Office of International Affairs, to Depart SEC Release No.:2020-271
Published date grouping:October 2020 Date: Headline: SEC Awards Over $10 Million to Whistleblower Release No.:2020-270
Published date grouping:October 2020 Date: 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: 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: Headline: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions Release No.:2020-267
Published date grouping:October 2020 Date: Headline: SEC Issues Record $114 Million Whistleblower Award Release No.:2020-266
Published date grouping:October 2020 Date: Headline: SEC Charges Goldman Sachs With FCPA Violations Release No.:2020-265
Published date grouping:October 2020 Date: 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: Headline: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28 Release No.:2020-263
Published date grouping:October 2020 Date: Headline: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering Release No.:2020-262
Published date grouping:October 2020 Date: Headline: SEC Updates Auditor Independence Rules Release No.:2020-261
Published date grouping:October 2020 Date: 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: Headline: SEC and CFTC to Hold a Joint Open Meeting on October 22 Release No.:2020-259
Published date grouping:October 2020 Date: Headline: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan Release No.:2020-258
Published date grouping:October 2020 Date: 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: Headline: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board Release No.:2020-256
Published date grouping:October 2020 Date: Headline: SEC Awards $800,000 to Whistleblower Release No.:2020-255
Published date grouping:October 2020 Date: Headline: SEC Charges Brazilian Meat Producers With FCPA Violations Release No.:2020-254
Published date grouping:October 2020 Date: 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: Headline: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-252
Published date grouping:October 2020 Date: Headline: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud Release No.:2020-251
Published date grouping:October 2020 Date: 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: 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: Headline: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising Release No.:2020-248
Published date grouping:October 2020 Date: Headline: SEC Updates Regulatory Framework for Fund of Funds Arrangements Release No.:2020-247
Published date grouping:October 2020 Date: Headline: SEC Charges John McAfee With Fraudulently Touting ICOs Release No.:2020-246
Published date grouping:October 2020 Date: 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: Headline: SEC’s Messages for World Investor Week 2020 Release No.:2020-244
Published date grouping:October 2020 Date: 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: Headline: SEC Charges Hospitality Company for Failing to Disclose Executive Perks Release No.:2020-242
Published date grouping:September 2020 Date: Headline: SEC Charges HP Inc. With Disclosure Violations and Control Failures Release No.:2020-241
Published date grouping:September 2020 Date: Headline: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards Release No.:2020-240
Published date grouping:September 2020 Date: Headline: SEC Awards Almost $30 Million to Two Insider Whistleblowers Release No.:2020-239
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud Release No.:2020-237
Published date grouping:September 2020 Date: Headline: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme Release No.:2020-236
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors Release No.:2020-234
Published date grouping:September 2020 Date: Headline: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries Release No.:2020-233
Published date grouping:September 2020 Date: 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: Headline: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider Release No.:2020-231
Published date grouping:September 2020 Date: Headline: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations Release No.:2020-230
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Amazon Finance Manager and Family With Insider Trading Release No.:2020-228
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative Release No.:2020-226
Published date grouping:September 2020 Date: Headline: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct Release No.:2020-225
Published date grouping:September 2020 Date: 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: 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: 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: Headline: SEC Charges Lighting Products Company and Four Executives With Accounting Violations Release No.:2020-221
Published date grouping:September 2020 Date: Headline: SEC Adopts Amendments to Modernize Shareholder Proposal Rule Release No.:2020-220
Published date grouping:September 2020 Date: Headline: SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program Release No.:2020-219
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Index Manager and Friend With Insider Trading Release No.:2020-217
Published date grouping:September 2020 Date: Headline: SEC Charges Ponzi Scheme Targeting U.S. Military Service Members Release No.:2020-216
Published date grouping:September 2020 Date: Headline: SEC Issues $2.4 Million Whistleblower Award Release No.:2020-215
Published date grouping:September 2020 Date: Headline: SEC Awards Almost $250,000 to Joint Whistleblowers Release No.:2020-214
Published date grouping:September 2020 Date: 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: 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: 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: Headline: SEC Releases Report and Recommendations on the 39th Annual Small Business Forum Release No.:2020-210
Published date grouping:September 2020 Date: Headline: SEC Awards More Than $10 Million to Whistleblower Release No.:2020-209
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs Release No.:2020-207
Published date grouping:September 2020 Date: Headline: SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee Release No.:2020-206
Published date grouping:September 2020 Date: Headline: SEC Modernizes Disclosures for Banking Registrants Release No.:2020-205
Published date grouping:September 2020 Date: 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: Headline: SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy Release No.:2020-203
Published date grouping:September 2020 Date: Headline: SEC Investor Advisory Committee to Meet Virtually on September 24 Release No.:2020-202
Published date grouping:September 2020 Date: 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: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-200
Published date grouping:August 2020 Date: Headline: SEC Awards Over $1.25 Million to Whistleblower Release No.:2020-199
Published date grouping:August 2020 Date: Headline: SEC Charges Ponzi Scheme Targeting African Immigrants Release No.:2020-198
Published date grouping:August 2020 Date: Headline: SEC Charges Herbalife With FCPA Violations Release No.:2020-197
Published date grouping:August 2020 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2021 Release No.:2020-196
Published date grouping:August 2020 Date: Headline: SEC Charges BorgWarner for Materially Misstating its Financial Statements Release No.:2020-195
Published date grouping:August 2020 Date: Headline: SEC Monitoring Impact of Hurricane Laura on Capital Markets Release No.:2020-194
Published date grouping:August 2020 Date: Headline: SEC Halts Fraudulent Offering by Florida Investment Adviser Release No.:2020-193
Published date grouping:August 2020 Date: 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: Headline: SEC Modernizes the Accredited Investor Definition Release No.:2020-191
Published date grouping:August 2020 Date: Headline: SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations Release No.:2020-190
Published date grouping:August 2020 Date: Headline: SEC Proposes Data Security Enhancements to the CAT NMS Plan Release No.:2020-189
Published date grouping:August 2020 Date: 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: Headline: Richard R. Best Named Director of SEC's New York Regional Office Release No.:2020-187
Published date grouping:August 2020 Date: Headline: SEC Names Marc P. Berger as Deputy Director of Enforcement Release No.:2020-186
Published date grouping:August 2020 Date: Headline: SEC Names Diana Stoltzfus as Deputy Chief Accountant Release No.:2020-185
Published date grouping:August 2020 Date: Headline: Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners Release No.:2020-184
Published date grouping:August 2020 Date: 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: 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: Headline: SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO Release No.:2020-181
Published date grouping:August 2020 Date: Headline: Deputy Chief Accountant Marc Panucci to Leave SEC Release No.:2020-180
Published date grouping:August 2020 Date: Headline: Sebastian Gomez Abero Named Deputy Director of SEC's Small Business Advocacy Office Release No.:2020-179
Published date grouping:August 2020 Date: Headline: SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports Release No.:2020-178
Published date grouping:August 2020 Date: Headline: SEC Charges Consumer Loan Company With FCPA Violations Release No.:2020-177
Published date grouping:August 2020 Date: Headline: Lindsay McCord Named Chief Accountant in Division of Corporation Finance Release No.:2020-176
Published date grouping:August 2020 Date: Headline: SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements Release No.:2020-175
Published date grouping:August 2020 Date: Headline: Enforcement Co-Director Steven Peikin to Depart Release No.:2020-174
Published date grouping:August 2020 Date: 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: 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: Headline: SEC Announces New Small Business Capital Formation Advisory Committee Members Release No.:2020-171
Published date grouping:August 2020 Date: Headline: Scott A. Thompson Named Associate Regional Director in Philadelphia Office Release No.:2020-170
Published date grouping:July 2020 Date: Headline: Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures Release No.:2020-169
Published date grouping:July 2020 Date: Headline: SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme Release No.:2020-168
Published date grouping:July 2020 Date: 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: 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: 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: 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: 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: Headline: SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud Release No.:2020-162
Published date grouping:July 2020 Date: 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: Headline: SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors Release No.:2020-160
Published date grouping:July 2020 Date: 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: Headline: SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors Release No.:2020-158
Published date grouping:July 2020 Date: Headline: SEC Files Fraud Charges Against Co-Founder of IIG Release No.:2020-157
Published date grouping:July 2020 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2020-156
Published date grouping:July 2020 Date: Headline: SEC Issues $3.8 Million Whistleblower Award Release No.:2020-155
Published date grouping:July 2020 Date: Headline: SEC Charges Wind Turbine Company and Individuals With Defrauding Investors Release No.:2020-154
Published date grouping:July 2020 Date: Headline: SEC Charges App Developer for Unregistered Security-Based Swap Transactions Release No.:2020-153
Published date grouping:July 2020 Date: 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: 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: Headline: SEC Adopts Amendments to Exemptive Applications Procedures Release No.:2020-150
Published date grouping:July 2020 Date: Headline: SEC Charges Alexion Pharmaceuticals With FCPA Violations Release No.:2020-149
Published date grouping:July 2020 Date: Headline: SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets Release No.:2020-148
Published date grouping:June 2020 Date: Headline: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers Release No.:2020-147
Published date grouping:June 2020 Date: 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: Headline: SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin Release No.:2020-145
Published date grouping:June 2020 Date: Headline: SEC Charges Novartis AG with FCPA Violations Release No.:2020-144
Published date grouping:June 2020 Date: Headline: Financial Regulators Modify Volcker Rule Release No.:2020-143
Published date grouping:June 2020 Date: 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: Headline: SEC Awards $125,000 to Whistleblower Release No.:2020-141
Published date grouping:June 2020 Date: 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: Headline: SEC Extends Relief for Virtual Meetings of Fund Boards Release No.:2020-139
Published date grouping:June 2020 Date: Headline: SEC Awards Almost $700,000 to Whistleblower Release No.:2020-138
Published date grouping:June 2020 Date: Headline: SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud Release No.:2020-137
Published date grouping:June 2020 Date: Headline: Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years Release No.:2020-136
Published date grouping:June 2020 Date: Headline: Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures Release No.:2020-135
Published date grouping:June 2020 Date: Headline: SEC Names Jennifer S. Leete as Associate Director in Enforcement Division Release No.:2020-134
Published date grouping:June 2020 Date: 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: Headline: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million Release No.:2020-132
Published date grouping:June 2020 Date: 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: Headline: FinHub to Host Virtual Meet-Ups Release No.:2020-130
Published date grouping:June 2020 Date: 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: Headline: SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims Release No.:2020-128
Published date grouping:June 2020 Date: Headline: Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks Release No.:2020-127
Published date grouping:June 2020 Date: Headline: SEC Awards Record Payout of Nearly $50 Million to Whistleblower Release No.:2020-126
Published date grouping:May 2020 Date: 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: Headline: Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors Release No.:2020-124
Published date grouping:May 2020 Date: Headline: Private Equity Firm Ares Management LLC Charged With Compliance Failures Release No.:2020-123
Published date grouping:May 2020 Date: Headline: SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund Release No.:2020-122
Published date grouping:May 2020 Date: Headline: SEC Announces Virtual Conference on Municipal Securities Disclosure Release No.:2020-121
Published date grouping:May 2020 Date: Headline: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens Release No.:2020-120
Published date grouping:May 2020 Date: Headline: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee Release No.:2020-119
Published date grouping:May 2020 Date: Headline: SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses Release No.:2020-118
Published date grouping:May 2020 Date: Headline: SEC Announces 2020 Small Business Forum, to Be Held Virtually Release No.:2020-117
Published date grouping:May 2020 Date: Headline: SEC Staff to Host July 9 Roundtable on Emerging Markets Release No.:2020-116
Published date grouping:May 2020 Date: Headline: SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct Release No.:2020-115
Published date grouping:May 2020 Date: 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: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2020-113
Published date grouping:May 2020 Date: 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: Headline: SEC Charges Companies and CEO for Misleading COVID-19 Claims Release No.:2020-111
Published date grouping:May 2020 Date: Headline: SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud Release No.:2020-110
Published date grouping:May 2020 Date: Headline: SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients Release No.:2020-109
Published date grouping:May 2020 Date: Headline: Chairman Jay Clayton Announces Additions to Executive Staff Release No.:2020-108
Published date grouping:May 2020 Date: Headline: SEC Names John Moses Managing Executive in Chairman’s Office Release No.:2020-107
Published date grouping:May 2020 Date: 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: Headline: SEC Investor Advisory Committee to Meet Virtually on May 21 Release No.:2020-105
Published date grouping:May 2020 Date: Headline: SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations Release No.:2020-104
Published date grouping:May 2020 Date: 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: Headline: SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers Release No.:2020-102
Published date grouping:May 2020 Date: 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: Headline: SEC Awards Almost $2 Million to Whistleblower Release No.:2020-100
Published date grouping:April 2020 Date: 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: Headline: SEC Awards Over $18 Million to Whistleblower Release No.:2020-98
Published date grouping:April 2020 Date: Headline: SEC Charges Company and CEO for COVID-19 Scam Release No.:2020-97
Published date grouping:April 2020 Date: Headline: SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19 Release No.:2020-96
Published date grouping:April 2020 Date: Headline: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group Release No.:2020-95
Published date grouping:April 2020 Date: 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: Headline: SEC Proposes to Modernize Framework for Fund Valuation Practices Release No.:2020-93
Published date grouping:April 2020 Date: 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: Headline: SEC Issues $5 Million Whistleblower Award Release No.:2020-91
Published date grouping:April 2020 Date: Headline: SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors Release No.:2020-90
Published date grouping:April 2020 Date: Headline: SEC Awards Over $27 Million to Whistleblower Release No.:2020-89
Published date grouping:April 2020 Date: Headline: SEC Charges Former Financial Services Executive With FCPA Violations Release No.:2020-88
Published date grouping:April 2020 Date: Headline: Natasha Guinan Named Chief Counsel, Office of the Chief Accountant Release No.:2020-87
Published date grouping:April 2020 Date: Headline: SEC Enhances Standards for Critical Market Infrastructure Release No.:2020-86
Published date grouping:April 2020 Date: Headline: Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case Release No.:2020-85
Published date grouping:April 2020 Date: 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: 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: 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: 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: Headline: SEC Awards Approximately $2 Million to Whistleblower Release No.:2020-80
Published date grouping:April 2020 Date: Headline: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period Release No.:2020-79
Published date grouping:April 2020 Date: Headline: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts Release No.:2020-78
Published date grouping:March 2020 Date: 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: 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: Headline: SEC Awards $450,000 to Whistleblower Release No.:2020-75
Published date grouping:March 2020 Date: 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: 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: Headline: SEC Charges Unregistered Penny Stock Dealer Release No.:2020-72
Published date grouping:March 2020 Date: Headline: SEC Awards Over $570,000 to Two Whistleblowers Release No.:2020-71
Published date grouping:March 2020 Date: Headline: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus Release No.:2020-70
Published date grouping:March 2020 Date: Headline: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-69
Published date grouping:March 2020 Date: 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: 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: Headline: SEC Emergency Action Stops Digital Asset Scam Release No.:2020-66
Published date grouping:March 2020 Date: Headline: Jury Finds Investment Adviser and its Owner Liable for Fraud Release No.:2020-65