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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Press Releases Table

Published date grouping
Date
Headline
Release No.
Published date grouping:February 2024 Date: Headline: SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel Release No.:2024-25
Published date grouping:February 2024 Date: Headline: SEC Charges Husband of Energy Company Manager with Insider Trading Release No.:2024-24
Published date grouping:February 2024 Date: Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market Release No.:2024-23
Published date grouping:February 2024 Date: Headline: SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers Release No.:2024-22
Published date grouping:February 2024 Date: Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Release No.:2024-21
Published date grouping:February 2024 Date: Headline: SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch Release No.:2024-20
Published date grouping:February 2024 Date: Headline: SEC Proposes Rule to Update Definition of Qualifying Venture Capital Funds Release No.:2024-19
Published date grouping:February 2024 Date: Headline: Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures Release No.:2024-18
Published date grouping:February 2024 Date: Headline: SEC Adopts Amendments to Enhance Private Fund Reporting Release No.:2024-17
Published date grouping:February 2024 Date: Headline: SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product Release No.:2024-16
Published date grouping:February 2024 Date: Headline: SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud Release No.:2024-15
Published date grouping:February 2024 Date: Headline: SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” Release No.:2024-14
Published date grouping:February 2024 Date: Headline: SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students Release No.:2024-13
Published date grouping:February 2024 Date: Headline: SEC to Host Law School Summit Highlighting Need for Investor Access to Legal Counsel Release No.:2024-12
Published date grouping:January 2024 Date: Headline: SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud Release No.:2024-11
Published date grouping:January 2024 Date: Headline: SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures Release No.:2024-10
Published date grouping:January 2024 Date: Headline: SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund Release No.:2024-9
Published date grouping:January 2024 Date: Headline: SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Release No.:2024-8
Published date grouping:January 2024 Date: Headline: J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule Release No.:2024-7
Published date grouping:January 2024 Date: Headline: SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business Release No.:2024-6
Published date grouping:January 2024 Date: Headline: SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures Release No.:2024-5
Published date grouping:January 2024 Date: Headline: SEC Charges Global Software Company SAP for FCPA Violations Release No.:2024-4
Published date grouping:January 2024 Date: Headline: SEC Appoints Stacey Bowers as Small Business Advocate Release No.:2024-3
Published date grouping:January 2024 Date: Headline: SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief Release No.:2024-2
Published date grouping:January 2024 Date: Headline: Mark Uyeda Sworn in for Second Term as SEC Commissioner Release No.:2024-1
Published date grouping:December 2023 Date: Headline: Dean C. Metry Named Chief Administrative Law Judge at SEC Release No.:2023-259
Published date grouping:December 2023 Date: Headline: BarnBridge DAO Agrees to Stop Unregistered Offer and Sale of Structured Finance Crypto Product Release No.:2023-258
Published date grouping:December 2023 Date: Headline: SEC Awards More Than $28 Million to Seven Whistleblowers Release No.:2023-257
Published date grouping:December 2023 Date: Headline: SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud Release No.:2023-256
Published date grouping:December 2023 Date: Headline: SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud Release No.:2023-255
Published date grouping:December 2023 Date: Headline: SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief Release No.:2023-254
Published date grouping:December 2023 Date: Headline: SEC Issues Staff Report on Accredited Investor Definition Release No.:2023-253
Published date grouping:December 2023 Date: Headline: SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising from Startups to Small Public Companies Release No.:2023-252
Published date grouping:December 2023 Date: Headline: SEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme Release No.:2023-251
Published date grouping:December 2023 Date: Headline: SEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme Release No.:2023-250
Published date grouping:December 2023 Date: Headline: Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services Release No.:2023-249
Published date grouping:December 2023 Date: Headline: SEC Approves 2024 PCAOB Budget and Accounting Support Fee Release No.:2023-248
Published date grouping:December 2023 Date: Headline: SEC Adopts Rules to Improve Risk Management in Clearance and Settlement and Facilitate Additional Central Clearing for the U.S. Treasury Market Release No.:2023-247
Published date grouping:December 2023 Date: Headline: Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC Release No.:2023-246
Published date grouping:December 2023 Date: Headline: SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme Release No.:2023-245
Published date grouping:December 2023 Date: Headline: SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research Release No.:2023-244
Published date grouping:November 2023 Date: Headline: SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting Release No.:2023-243
Published date grouping:November 2023 Date: Headline: SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud Release No.:2023-242
Published date grouping:November 2023 Date: Headline: SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office Release No.:2023-241
Published date grouping:November 2023 Date: Headline: SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations Release No.:2023-240
Published date grouping:November 2023 Date: Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process Release No.:2023-239
Published date grouping:November 2023 Date: Headline: SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S. Release No.:2023-238
Published date grouping:November 2023 Date: Headline: SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency Release No.:2023-237
Published date grouping:November 2023 Date: Headline: SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest Release No.:2023-236
Published date grouping:November 2023 Date: Headline: Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations Release No.:2023-235
Published date grouping:November 2023 Date: Headline: SEC Announces Enforcement Results for Fiscal Year 2023 Release No.:2023-234
Published date grouping:November 2023 Date: Headline: SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors Release No.:2023-233
Published date grouping:November 2023 Date: Headline: SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations Release No.:2023-232
Published date grouping:November 2023 Date: Headline: SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud Release No.:2023-231
Published date grouping:November 2023 Date: Headline: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Release No.:2023-230
Published date grouping:November 2023 Date: Headline: SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities Release No.:2023-229
Published date grouping:October 2023 Date: Headline: SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme Release No.:2023-228
Published date grouping:October 2023 Date: Headline: SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures Release No.:2023-227
Published date grouping:October 2023 Date: Headline: SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised Release No.:2023-226
Published date grouping:October 2023 Date: Headline: SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks Release No.:2023-225
Published date grouping:October 2023 Date: Headline: Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution Release No.:2023-224
Published date grouping:October 2023 Date: Headline: SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community Release No.:2023-223
Published date grouping:October 2023 Date: Headline: SEC Division of Examinations Announces 2024 Priorities Release No.:2023-222
Published date grouping:October 2023 Date: Headline: SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection Release No.:2023-221
Published date grouping:October 2023 Date: Headline: SEC Adopts Rule to Increase Transparency in the Securities Lending Market Release No.:2023-220
Published date grouping:October 2023 Date: Headline: SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting Release No.:2023-219
Published date grouping:October 2023 Date: Headline: SEC Names Stephanie Allen as Director of Media Relations and Speechwriting Release No.:2023-218
Published date grouping:October 2023 Date: Headline: SEC Spotlights Due Diligence During World Investor Week 2023 Release No.:2023-217
Published date grouping:September 2023 Date: Headline: SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program Release No.:2023-216
Published date grouping:September 2023 Date: Headline: SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities Release No.:2023-215
Published date grouping:September 2023 Date: Headline: SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations Release No.:2023-214
Published date grouping:September 2023 Date: Headline: SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule Release No.:2023-213
Published date grouping:September 2023 Date: Headline: SEC Charges 10 Firms with Widespread Recordkeeping Failures Release No.:2023-212
Published date grouping:September 2023 Date: Headline: SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures Release No.:2023-211
Published date grouping:September 2023 Date: Headline: SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance Release No.:2023-210
Published date grouping:September 2023 Date: Headline: Albemarle Corp. to Pay SEC More Than $103 Million to Settle FCPA Violations Release No.:2023-209
Published date grouping:September 2023 Date: Headline: SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger Release No.:2023-208
Published date grouping:September 2023 Date: Headline: SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme Release No.:2023-207
Published date grouping:September 2023 Date: Headline: SEC Charges Clear Channel Outdoor with FCPA Violations Relating to China Subsidiary Release No.:2023-206
Published date grouping:September 2023 Date: Headline: SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud Release No.:2023-205
Published date grouping:September 2023 Date: Headline: SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading Release No.:2023-204
Published date grouping:September 2023 Date: Headline: SEC Charges Three Southern California Siblings with Insider Trading Release No.:2023-203
Published date grouping:September 2023 Date: Headline: SEC Appoints George Botic to the Public Company Accounting Oversight Board Release No.:2023-202
Published date grouping:September 2023 Date: Headline: SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings Release No.:2023-201
Published date grouping:September 2023 Date: Headline: SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors Release No.:2023-200
Published date grouping:September 2023 Date: Headline: SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts Release No.:2023-199
Published date grouping:September 2023 Date: Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising Release No.:2023-198
Published date grouping:September 2023 Date: Headline: SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds Release No.:2023-197
Published date grouping:September 2023 Date: Headline: SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme Release No.:2023-196
Published date grouping:September 2023 Date: Headline: SEC Charges GTT Communications for Disclosure Failures Release No.:2023-195
Published date grouping:September 2023 Date: Headline: Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments Release No.:2023-194
Published date grouping:September 2023 Date: Headline: SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties Release No.:2023-193
Published date grouping:September 2023 Date: Headline: SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations Release No.:2023-192
Published date grouping:September 2023 Date: Headline: Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2023-191
Published date grouping:September 2023 Date: Headline: SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors Release No.:2023-190
Published date grouping:September 2023 Date: Headline: SEC Approves Revised Privacy Act Rule Release No.:2023-189
Published date grouping:September 2023 Date: Headline: SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names Release No.:2023-188
Published date grouping:September 2023 Date: Headline: SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community Release No.:2023-187
Published date grouping:September 2023 Date: Headline: SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official Release No.:2023-186
Published date grouping:September 2023 Date: Headline: SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting Release No.:2023-185
Published date grouping:September 2023 Date: Headline: SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule Release No.:2023-184
Published date grouping:September 2023 Date: Headline: SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility Release No.:2023-183
Published date grouping:September 2023 Date: Headline: SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction Release No.:2023-182
Published date grouping:September 2023 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2023-181
Published date grouping:September 2023 Date: Headline: SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking Release No.:2023-180
Published date grouping:September 2023 Date: Headline: SEC Proposes Improvements to EDGAR Filer Access and Account Management Release No.:2023-179
Published date grouping:September 2023 Date: Headline: SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs Release No.:2023-178
Published date grouping:September 2023 Date: Headline: SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesses Release No.:2023-177
Published date grouping:September 2023 Date: Headline: SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers Release No.:2023-176
Published date grouping:September 2023 Date: Headline: SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors Release No.:2023-175
Published date grouping:September 2023 Date: Headline: SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies Release No.:2023-174
Published date grouping:September 2023 Date: Headline: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers Release No.:2023-173
Published date grouping:September 2023 Date: Headline: SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules Release No.:2023-172
Published date grouping:September 2023 Date: Headline: Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities Release No.:2023-171
Published date grouping:September 2023 Date: Headline: SEC Charges Fluor Corp. for Accounting Improprieties Release No.:2023-170
Published date grouping:September 2023 Date: Headline: SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail Release No.:2023-169
Published date grouping:September 2023 Date: Headline: SEC Charges Five Advisory Firms for Custody Rule Violations Release No.:2023-168
Published date grouping:September 2023 Date: Headline: SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate Release No.:2023-167
Published date grouping:September 2023 Date: Headline: SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans Release No.:2023-166
Published date grouping:August 2023 Date: Headline: SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses Release No.:2023-165
Published date grouping:August 2023 Date: Headline: SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports Release No.:2023-164
Published date grouping:August 2023 Date: Headline: SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs Release No.:2023-163
Published date grouping:August 2023 Date: Headline: SEC Announces First Fee Rate Advisory for Fiscal Year 2024 Release No.:2023-162
Published date grouping:August 2023 Date: Headline: SEC Awards Whistleblower More Than $18 Million Release No.:2023-161
Published date grouping:August 2023 Date: Headline: SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary Release No.:2023-160
Published date grouping:August 2023 Date: Headline: Wells Fargo Settles with SEC for Charging Excessive Advisory Fees Release No.:2023-159
Published date grouping:August 2023 Date: Headline: SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading Release No.:2023-158
Published date grouping:August 2023 Date: Headline: SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel Release No.:2023-157
Published date grouping:August 2023 Date: Headline: SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal Release No.:2023-156
Published date grouping:August 2023 Date: Headline: SEC Enhances the Regulation of Private Fund Advisers Release No.:2023-155
Published date grouping:August 2023 Date: Headline: SEC Adopts Amendments to Exemption From National Securities Association Membership Release No.:2023-154
Published date grouping:August 2023 Date: Headline: SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations Release No.:2023-153
Published date grouping:August 2023 Date: Headline: SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction Release No.:2023-152
Published date grouping:August 2023 Date: Headline: Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations Release No.:2023-151
Published date grouping:August 2023 Date: Headline: Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency Release No.:2023-150
Published date grouping:August 2023 Date: Headline: SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures Release No.:2023-149
Published date grouping:August 2023 Date: Headline: Fund Administrator Charged For Missing Red Flags Release No.:2023-148
Published date grouping:August 2023 Date: Headline: SEC Awards More Than $104 Million to Seven Whistleblowers Release No.:2023-147
Published date grouping:August 2023 Date: Headline: SEC Charges Florida Investment Adviser a Second Time for Insider Trading Release No.:2023-145
Published date grouping:August 2023 Date: Headline: SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder Release No.:2023-144
Published date grouping:July 2023 Date: Headline: SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion Release No.:2023-143
Published date grouping:July 2023 Date: Headline: SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members Release No.:2023-142
Published date grouping:July 2023 Date: Headline: SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Release No.:2023-141
Published date grouping:July 2023 Date: Headline: SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Release No.:2023-140
Published date grouping:July 2023 Date: Headline: SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies Release No.:2023-139
Published date grouping:July 2023 Date: Headline: SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading Release No.:2023-138
Published date grouping:July 2023 Date: Headline: SEC Names Natasha Vij Greiner and Keith E. Cassidy Interim Acting Co-Directors of the Division of Examinations Release No.:2023-137
Published date grouping:July 2023 Date: Headline: SEC, NASAA, and Wisconsin DFI to Host Investor Roundtable in Madison, Wisconsin on July 25 Release No.:2023-136
Published date grouping:July 2023 Date: Headline: SEC Charges Digital World SPAC for Material Misrepresentations to Investors Release No.:2023-135
Published date grouping:July 2023 Date: Headline: SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors Release No.:2023-134
Published date grouping:July 2023 Date: Headline: SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities Release No.:2023-133
Published date grouping:July 2023 Date: Headline: SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange Release No.:2023-132
Published date grouping:July 2023 Date: Headline: SEC Awards Whistleblower More Than $9 Million Release No.:2023-131
Published date grouping:July 2023 Date: Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule Release No.:2023-130
Published date grouping:July 2023 Date: Headline: SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers Release No.:2023-129
Published date grouping:July 2023 Date: Headline: SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports Release No.:2023-128
Published date grouping:July 2023 Date: Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Release No.:2023-127
Published date grouping:July 2023 Date: Headline: SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability Release No.:2023-126
Published date grouping:June 2023 Date: Headline: SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme Release No.:2023-125
Published date grouping:June 2023 Date: Headline: SEC Charges Stockbroker and Friend with Insider Trading Release No.:2023-124
Published date grouping:June 2023 Date: Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement Release No.:2022-123
Published date grouping:June 2023 Date: Headline: SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger Release No.:2023-122
Published date grouping:June 2023 Date: Headline: SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities Release No.:2023-121
Published date grouping:June 2023 Date: Headline: SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud Release No.:2023-120
Published date grouping:June 2023 Date: Headline: SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer Release No.:2023-119
Published date grouping:June 2023 Date: Headline: SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community Release No.:2023-118
Published date grouping:June 2023 Date: Headline: SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme Release No.:2023-117
Published date grouping:June 2023 Date: Headline: SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud Release No.:2023-116
Published date grouping:June 2023 Date: Headline: SEC Investor Advisory Committee to Discuss Private Funds and Outbound Investments to Countries of Concern, Digital Engagement Practices, and Audit Committee Workloads at June 22nd Meeting Release No.:2023-115
Published date grouping:June 2023 Date: Headline: SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies Release No.:2023-114
Published date grouping:June 2023 Date: Headline: SEC Reopens Comment Period for Position Reporting of Large Security-Based Swap Positions Release No.:2023-113
Published date grouping:June 2023 Date: Headline: SEC Charges Private Equity Fund Adviser for Overcharging Fees and Failing To Disclose Fee Calculation Conflict Release No.:2023-112
Published date grouping:June 2023 Date: Headline: SEC Charges Stanley Black & Decker and Former Executive for Failures in Executive Perks Disclosure Release No.:2023-111
Published date grouping:June 2023 Date: Headline: SEC Secures Emergency Relief to Protect Binance.US Customers’ Assets Release No.:2023-110
Published date grouping:June 2023 Date: Headline: SEC Charges PIMCO for Disclosure and Policies and Procedures Failures Release No.:2023-109
Published date grouping:June 2023 Date: Headline: Michele Layne, Director of Los Angeles Regional Office, to Leave SEC Release No.:2023-108
Published date grouping:June 2023 Date: Headline: SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme Release No.:2023-107
Published date grouping:June 2023 Date: Headline: SEC Unveils New Public Service Campaign Encouraging Older Investors to Never Stop Learning Release No.:2023-106
Published date grouping:June 2023 Date: Headline: SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M Release No.:2023-105
Published date grouping:June 2023 Date: Headline: SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOs Release No.:2023-104
Published date grouping:June 2023 Date: Headline: SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected Release No.:2023-103
Published date grouping:June 2023 Date: Headline: SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency Release No.:2023-102
Published date grouping:June 2023 Date: Headline: SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao Release No.:2023-101
Published date grouping:June 2023 Date: Headline: Small Business Advisory Committee June Meeting to Focus on Capital Raising and Reducing Funding Gaps for Underrepresented Founders Release No.:2023-100
Published date grouping:May 2023 Date: Headline: Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric Release No.:2023-99
Published date grouping:May 2023 Date: Headline: Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities Release No.:2023-98
Published date grouping:May 2023 Date: Headline: SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud Release No.:2023-97
Published date grouping:May 2023 Date: Headline: Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policy Release No.:2023-96
Published date grouping:May 2023 Date: Headline: SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies Release No.:2023-95
Published date grouping:May 2023 Date: Headline: SEC Charges 10 Microcap Companies with Securities Offering Registration Violations Release No.:2023-94
Published date grouping:May 2023 Date: Headline: SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts Release No.:2023-93
Published date grouping:May 2023 Date: Headline: Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges Release No.:2023-92
Published date grouping:May 2023 Date: Headline: SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures Release No.:2023-91
Published date grouping:May 2023 Date: Headline: SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations Release No.:2023-90
Published date grouping:May 2023 Date: Headline: SEC Issues Largest-Ever Whistleblower Award Release No.:2023-89
Published date grouping:May 2023 Date: Headline: SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs Release No.:2023-88
Published date grouping:May 2023 Date: Headline: SEC Announces New Members of Small Business Capital Formation Advisory Committee Release No.:2023-87
Published date grouping:May 2023 Date: Headline: SEC Adopts Amendments to Enhance Private Fund Reporting Release No.:2023-86
Published date grouping:May 2023 Date: Headline: SEC Adopts Amendments to Modernize Share Repurchase Disclosure Release No.:2023-85
Published date grouping:May 2023 Date: Headline: SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud Release No.:2023-84
Published date grouping:April 2023 Date: Headline: SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting Release No.:2023-83
Published date grouping:April 2023 Date: Headline: SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management Release No.:2023-82
Published date grouping:April 2023 Date: Headline: Eric R. Werner Named Director of Fort Worth Regional Office Release No.:2023-81
Published date grouping:April 2023 Date: Headline: SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service Release No.:2023-80
Published date grouping:April 2023 Date: Headline: SEC Appoints Deborah J. Jeffrey as Inspector General Release No.:2023-79
Published date grouping:April 2023 Date: Headline: SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency Release No.:2023-78
Published date grouping:April 2023 Date: Headline: SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information Release No.:2023-77
Published date grouping:April 2023 Date: Headline: Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact Capital Raising Policy Release No.:2023-76
Published date grouping:April 2023 Date: Headline: SEC’s OMWI FY 2022 Annual Report Highlights the Agency’s Diversity, Equity, and Inclusion Initiatives and Progress Release No.:2023-75
Published date grouping:April 2023 Date: Headline: SEC Charges Founder of Frank with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company Release No.:2023-74
Published date grouping:April 2023 Date: Headline: SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients Release No.:2023-73
Published date grouping:April 2023 Date: Headline: SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading Release No.:2023-72
Published date grouping:April 2023 Date: Headline: SEC to Highlight Free Investor Education Resources During Financial Capability Month Release No.:2023-71
Published date grouping:March 2023 Date: Headline: Mark Reinhold Named SEC Chief Human Capital Officer Release No.:2023-70
Published date grouping:March 2023 Date: Headline: SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud Release No.:2023-69
Published date grouping:March 2023 Date: Headline: SEC Awards More Than $12 Million to Two Whistleblowers Release No.:2023-68
Published date grouping:March 2023 Date: Headline: SEC to Host Municipal Securities Disclosure Conference Release No.:2023-67
Published date grouping:March 2023 Date: Headline: SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme Release No.:2023-66
Published date grouping:March 2023 Date: Headline: SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct Release No.:2023-65
Published date grouping:March 2023 Date: Headline: SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency Release No.:2023-64
Published date grouping:March 2023 Date: Headline: Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapse Release No.:2023-63
Published date grouping:March 2023 Date: Headline: SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud Release No.:2023-62
Published date grouping:March 2023 Date: Headline: SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity Release No.:2023-61
Published date grouping:March 2023 Date: Headline: SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players Release No.:2023-60
Published date grouping:March 2023 Date: Headline: SEC Charges Crypto Entrepreneur Justin Sun and His Companies for Fraud and Other Securities Law Violations Release No.:2023-59
Published date grouping:March 2023 Date: Headline: SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934 Release No.:2023-58
Published date grouping:March 2023 Date: Headline: SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection Release No.:2023-57
Published date grouping:March 2023 Date: Headline: SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors Release No.:2023-56
Published date grouping:March 2023 Date: Headline: SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud Release No.:2023-55
Published date grouping:March 2023 Date: Headline: SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds Release No.:2023-54
Published date grouping:March 2023 Date: Headline: SEC Proposes to Expand and Update Regulation SCI Release No.:2023-53
Published date grouping:March 2023 Date: Headline: SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets Release No.:2023-52
Published date grouping:March 2023 Date: Headline: SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information Release No.:2023-51
Published date grouping:March 2023 Date: Headline: SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme Release No.:2023-50
Published date grouping:March 2023 Date: Headline: SEC Charges IT Services Provider DXC Technology Co. for Misleading Non-GAAP Disclosures Release No.:2023-49
Published date grouping:March 2023 Date: Headline: SEC Charges Software Company Blackbaud Inc. for Misleading Disclosures About Ransomware Attack That Impacted Charitable Donors Release No.:2023-48
Published date grouping:March 2023 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2023-47
Published date grouping:March 2023 Date: Headline: SEC Charges Rio Tinto plc with Bribery Controls Failures Release No.:2023-46
Published date grouping:March 2023 Date: Headline: SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme Release No.:2023-45
Published date grouping:March 2023 Date: Headline: SEC Charges Silver Edge Financial and Equity Acquisition Company With Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds Release No.:2023-44
Published date grouping:March 2023 Date: Headline: SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments Release No.:2023-43
Published date grouping:March 2023 Date: Headline: SEC Charges Ontrak Chairman Terren Peizer With Insider Trading Release No.:2023-42
Published date grouping:March 2023 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2023 Release No.:2023-41
Published date grouping:February 2023 Date: Headline: SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX Release No.:2023-40
Published date grouping:February 2023 Date: Headline: SEC Investor Advisory Committee to Discuss the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management at March 2nd Meeting Release No.:2023-39
Published date grouping:February 2023 Date: Headline: SEC Charges Cousins for Insider Trading in Kodak Stock Ahead of Company’s Planned Govt. Partnership to Assist in Response to COVID-19 Release No.:2023-38
Published date grouping:February 2023 Date: Headline: SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors Release No.:2023-37
Published date grouping:February 2023 Date: Headline: SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures Release No.:2023-36
Published date grouping:February 2023 Date: Headline: SEC Charges The Church of Jesus Christ of Latter-day Saints and Its Investment Management Company for Disclosure Failures and Misstated Filings Release No.:2023-35
Published date grouping:February 2023 Date: Headline: SEC Charges NBA Hall of Famer Paul Pierce for Unlawfully Touting and Making Misleading Statements about Crypto Security Release No.:2023-34
Published date grouping:February 2023 Date: Headline: SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade on False Rumors about Public Companies Release No.:2023-33
Published date grouping:February 2023 Date: Headline: SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes Release No.:2023-32
Published date grouping:February 2023 Date: Headline: SEC Charges Options Clearing Corporation with Rule Failures Release No.:2023-31
Published date grouping:February 2023 Date: Headline: SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers Release No.:2023-30
Published date grouping:February 2023 Date: Headline: SEC Finalizes Rules to Reduce Risks in Clearance and Settlement Release No.:2023-29
Published date grouping:February 2023 Date: Headline: SEC Proposes Revision to Privacy Act Rule Release No.:2023-28
Published date grouping:February 2023 Date: Headline: Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance Release No.:2023-27
Published date grouping:February 2023 Date: Headline: SEC Charges Former CEO of Slync in $67 Million Offering Fraud Release No.:2023-26
Published date grouping:February 2023 Date: Headline: Kraken to Discontinue Unregistered Offer and Sale of Crypto Asset Staking-As-A-Service Program and Pay $30 Million to Settle SEC Charges Release No.:2023-25
Published date grouping:February 2023 Date: Headline: SEC Division of Examinations Announces 2023 Priorities Release No.:2023-24
Published date grouping:February 2023 Date: Headline: SEC Seeks Applicants for Public Company Accounting Oversight Board Seat Release No.:2023-23
Published date grouping:February 2023 Date: Headline: Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule Release No.:2023-22
Published date grouping:February 2023 Date: Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Release No.:2023-21
Published date grouping:January 2023 Date: Headline: Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research Release No.:2023-20
Published date grouping:January 2023 Date: Headline: SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel Release No.:2023-19
Published date grouping:January 2023 Date: Headline: Silvestre Fontes Named Director of Boston Regional Office Release No.:2023-18
Published date grouping:January 2023 Date: Headline: SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations Release No.:2023-17
Published date grouping:January 2023 Date: Headline: SEC Issues $28 Million Award to Joint Whistleblowers Release No.:2023-16
Published date grouping:January 2023 Date: Headline: Fee Rate Advisory #2 For Fiscal Year 2023 Release No.:2023-15
Published date grouping:January 2023 Date: Headline: Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities Release No.:2023-14
Published date grouping:January 2023 Date: Headline: SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets Release No.:2023-13
Published date grouping:January 2023 Date: Headline: SEC Seeks Candidates for Small Business Capital Formation Advisory Committee Release No.:2023-12
Published date grouping:January 2023 Date: Headline: Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product Release No.:2023-11
Published date grouping:January 2023 Date: Headline: SEC Awards Approximately $18 Million to Three Whistleblowers Release No.:2023-10
Published date grouping:January 2023 Date: Headline: SEC Announces Departure of Renee Jones; Erik Gerding Named Director of Division of Corporation Finance Release No.:2023-9
Published date grouping:January 2023 Date: Headline: SEC Awards More Than $5 Million to Whistleblower Release No.:2023-8
Published date grouping:January 2023 Date: Headline: SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program Release No.:2023-7
Published date grouping:January 2023 Date: Headline: Paul Munter Named Chief Accountant Release No.:2023-6
Published date grouping:January 2023 Date: Headline: SEC Announces Appointment of Cristina Martin Firvida as Investor Advocate Release No.:2023-5
Published date grouping:January 2023 Date: Headline: SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination Release No.:2023-4
Published date grouping:January 2023 Date: Headline: SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest Release No.:2023-3
Published date grouping:January 2023 Date: Headline: SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud Release No.:2023-2
Published date grouping:January 2023 Date: Headline: SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme Release No.:2023-1
Published date grouping:December 2022 Date: Headline: Antonia Apps Named Director of New York Regional Office Release No.:2022-237
Published date grouping:December 2022 Date: Headline: SEC Approves the 2023 Public Company Accounting Oversight Board Budget and Accounting Support Fee Release No.:2022-236
Published date grouping:December 2022 Date: Headline: SEC Announces Departure of Dan Berkovitz; Megan Barbero Named General Counsel Release No.:2022-235
Published date grouping:December 2022 Date: Headline: SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform FTX Release No.:2022-234
Published date grouping:December 2022 Date: Headline: Sarah ten Siethoff Named Deputy Director of the Division of Investment Management Release No.:2022-233
Published date grouping:December 2022 Date: Headline: SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading Release No.:2022-232
Published date grouping:December 2022 Date: Headline: SEC Awards More Than $37 Million to Whistleblower Release No.:2022-231
Published date grouping:December 2022 Date: Headline: SEC Charges Honeywell with Bribery Schemes in Algeria and Brazil Release No.:2022-230
Published date grouping:December 2022 Date: Headline: SEC Small Business Advocacy Office Releases Annual Report on Capital Raising Release No.:2022-229
Published date grouping:December 2022 Date: Headline: SEC Charges Financial Services Professional and Associate in $47 Million Front-Running Scheme Release No.:2022-228
Published date grouping:December 2022 Date: Headline: SEC Charges Four Individuals in Crypto Pyramid Scheme that Targeted Spanish-Speaking Communities Release No.:2022-227
Published date grouping:December 2022 Date: Headline: SEC Proposes Regulation Best Execution Release No.:2022-226
Published date grouping:December 2022 Date: Headline: SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution Release No.:2022-225
Published date grouping:December 2022 Date: Headline: SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders Release No.:2022-224
Published date grouping:December 2022 Date: Headline: SEC Proposes Amendments to Enhance Disclosure of Order Execution Information Release No.:2022-223
Published date grouping:December 2022 Date: Headline: SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures Release No.:2022-222
Published date grouping:December 2022 Date: Headline: SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter Release No.:2022-221
Published date grouping:December 2022 Date: Headline: SEC Charges Danske Bank with Fraud for Misleading Investors about Its Anti-Money Laundering Compliance Failures in Estonia Release No.:2022-220
Published date grouping:December 2022 Date: Headline: SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX Release No.:2022-219
Published date grouping:December 2022 Date: Headline: SEC Awards More Than $20 Million to Whistleblower Release No.:2022-218
Published date grouping:December 2022 Date: Headline: SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering Release No.:2022-217
Published date grouping:December 2022 Date: Headline: SEC Reopens Comment Period for Proposed Rule on Share Repurchase Disclosure Modernization Release No.:2022-216
Published date grouping:December 2022 Date: Headline: AT&T Settles SEC Charge of Selectively Disclosing Material Information to Wall St. Analysts Release No.:2022-215
Published date grouping:December 2022 Date: Headline: ABB Settles SEC Charges That It Engaged in Bribery Scheme in South Africa Release No.:2022-214
Published date grouping:December 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Investor Account Statements, Corporate Tax Transparency, and Single-Stock ETFs on Dec 8 Release No.:2022-213
Published date grouping:December 2022 Date: Headline: Fort Worth Regional Director David L. Peavler to Leave SEC Release No.:2022-212
Published date grouping:November 2022 Date: Headline: SEC Awards $20 Million to Whistleblower Release No.:2022-211
Published date grouping:November 2022 Date: Headline: SEC Publishes FY22-26 Strategic Plan Release No.:2022-210
Published date grouping:November 2022 Date: Headline: SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investments Release No.:2022-209
Published date grouping:November 2022 Date: Headline: SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings Release No.:2022-208
Published date grouping:November 2022 Date: Headline: SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades Release No.:2022-207
Published date grouping:November 2022 Date: Headline: SEC Announces Enforcement Results for FY22 Release No.:2022-206
Published date grouping:November 2022 Date: Headline: SEC Charges S&P Global Ratings with Conflict of Interest Violations Release No.:2022-205
Published date grouping:November 2022 Date: Headline: SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme Release No.:2022-204
Published date grouping:November 2022 Date: Headline: SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role Release No.:2022-203
Published date grouping:November 2022 Date: Headline: Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations Release No.:2022-202
Published date grouping:November 2022 Date: Headline: SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million Fraud Release No.:2022-201
Published date grouping:November 2022 Date: Headline: SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community Release No.:2022-200
Published date grouping:November 2022 Date: Headline: SEC Proposes Enhancements to Open-End Fund Liquidity Framework Release No.:2022-199
Published date grouping:November 2022 Date: Headline: SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers Release No.:2022-198
Published date grouping:October 2022 Date: Headline: SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme Release No.:2022-197
Published date grouping:October 2022 Date: Headline: SEC Awards More Than $10 Million to Whistleblower Release No.:2022-196
Published date grouping:October 2022 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2022-195
Published date grouping:October 2022 Date: Headline: SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers Release No.:2022-194
Published date grouping:October 2022 Date: Headline: SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund Advertisements Release No.:2022-193
Published date grouping:October 2022 Date: Headline: SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules Release No.:2022-192
Published date grouping:October 2022 Date: Headline: SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud Release No.:2022-191
Published date grouping:October 2022 Date: Headline: SEC Names Jason J. Burt as Regional Director of the Denver Office Release No.:2022-190
Published date grouping:October 2022 Date: Headline: SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct Release No.:2022-189
Published date grouping:October 2022 Date: Headline: New Jersey Real Estate Development Firm and Four Executives Charged With $600 Million Ponzi-like Fraud Release No.:2022-188
Published date grouping:October 2022 Date: Headline: SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements for Security-Based Swap Entities Release No.:2022-187
Published date grouping:October 2022 Date: Headline: SEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments Release No.:2022-186
Published date grouping:October 2022 Date: Headline: Small Business Advisory Committee to Host Meeting to Discuss Entrepreneurship Hubs and the IPO Market Release No.:2022-185
Published date grouping:October 2022 Date: Headline: SEC to Spotlight Financial Planning and Resilience during World Investor Week 2022 Release No.:2022-184
Published date grouping:October 2022 Date: Headline: SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security Release No.:2022-183
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: