Published date grouping: September 2023
Date: Sept. 26, 2023
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: Sept. 26, 2023
Headline: SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
Release No.: 2023-199
Published date grouping: September 2023
Date: Sept. 26, 2023
Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
Release No.: 2023-198
Published date grouping: September 2023
Date: Sept. 26, 2023
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: Sept. 25, 2023
Headline: SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
Release No.: 2023-196
Published date grouping: September 2023
Date: Sept. 25, 2023
Headline: SEC Charges GTT Communications for Disclosure Failures
Release No.: 2023-195
Published date grouping: September 2023
Date: Sept. 25, 2023
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: Sept. 22, 2023
Headline: SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
Release No.: 2023-193
Published date grouping: September 2023
Date: Sept. 22, 2023
Headline: SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
Release No.: 2023-192
Published date grouping: September 2023
Date: Sept. 22, 2023
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: Sept. 20, 2023
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: Sept. 20, 2023
Headline: SEC Approves Revised Privacy Act Rule
Release No.: 2023-189
Published date grouping: September 2023
Date: Sept. 20, 2023
Headline: SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
Release No.: 2023-188
Published date grouping: September 2023
Date: Sept. 19, 2023
Headline: SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community
Release No.: 2023-187
Published date grouping: September 2023
Date: Sept. 19, 2023
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: Sept. 19, 2023
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: Sept. 19, 2023
Headline: SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
Release No.: 2023-184
Published date grouping: September 2023
Date: Sept. 18, 2023
Headline: SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
Release No.: 2023-183
Published date grouping: September 2023
Date: Sept. 18, 2023
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: Sept. 15, 2023
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2023-181
Published date grouping: September 2023
Date: Sept. 14, 2023
Headline: SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking
Release No.: 2023-180
Published date grouping: September 2023
Date: Sept. 13, 2023
Headline: SEC Proposes Improvements to EDGAR Filer Access and Account Management
Release No.: 2023-179
Published date grouping: September 2023
Date: Sept. 13, 2023
Headline: SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
Release No.: 2023-178
Published date grouping: September 2023
Date: Sept. 13, 2023
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: Sept. 12, 2023
Headline: SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers
Release No.: 2023-176
Published date grouping: September 2023
Date: Sept. 12, 2023
Headline: SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors
Release No.: 2023-175
Published date grouping: September 2023
Date: Sept. 12, 2023
Headline: SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies
Release No.: 2023-174
Published date grouping: September 2023
Date: Sept. 11, 2023
Headline: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers
Release No.: 2023-173
Published date grouping: September 2023
Date: Sept. 8, 2023
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: Sept. 7, 2023
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: Sept. 6, 2023
Headline: SEC Charges Fluor Corp. for Accounting Improprieties
Release No.: 2023-170
Published date grouping: September 2023
Date: Sept. 6, 2023
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: Sept. 5, 2023
Headline: SEC Charges Five Advisory Firms for Custody Rule Violations
Release No.: 2023-168
Published date grouping: September 2023
Date: Sept. 5, 2023
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: Sept. 1, 2023
Headline: SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans
Release No.: 2023-166
Published date grouping: August 2023
Date: Aug. 29, 2023
Headline: SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses
Release No.: 2023-165
Published date grouping: August 2023
Date: Aug. 29, 2023
Headline: SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports
Release No.: 2023-164
Published date grouping: August 2023
Date: Aug. 28, 2023
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: Aug. 25, 2023
Headline: SEC Announces First Fee Rate Advisory for Fiscal Year 2024
Release No.: 2023-162
Published date grouping: August 2023
Date: Aug. 25, 2023
Headline: SEC Awards Whistleblower More Than $18 Million
Release No.: 2023-161
Published date grouping: August 2023
Date: Aug. 25, 2023
Headline: SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary
Release No.: 2023-160
Published date grouping: August 2023
Date: Aug. 25, 2023
Headline: Wells Fargo Settles with SEC for Charging Excessive Advisory Fees
Release No.: 2023-159
Published date grouping: August 2023
Date: Aug. 23, 2023
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: Aug. 23, 2023
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: Aug. 23, 2023
Headline: SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal
Release No.: 2023-156
Published date grouping: August 2023
Date: Aug. 23, 2023
Headline: SEC Enhances the Regulation of Private Fund Advisers
Release No.: 2023-155
Published date grouping: August 2023
Date: Aug. 23, 2023
Headline: SEC Adopts Amendments to Exemption From National Securities Association Membership
Release No.: 2023-154
Published date grouping: August 2023
Date: Aug. 21, 2023
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: Aug. 14, 2023
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: Aug. 10, 2023
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: Aug. 10, 2023
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: Aug. 8, 2023
Headline: SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
Release No.: 2023-149
Published date grouping: August 2023
Date: Aug. 7, 2023
Headline: Fund Administrator Charged For Missing Red Flags
Release No.: 2023-148
Published date grouping: August 2023
Date: Aug. 4, 2023
Headline: SEC Awards More Than $104 Million to Seven Whistleblowers
Release No.: 2023-147
Published date grouping: August 2023
Date: Aug. 3, 2023
Headline: SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants
Release No.: 2023-146
Published date grouping: August 2023
Date: Aug. 2, 2023
Headline: SEC Charges Florida Investment Adviser a Second Time for Insider Trading
Release No.: 2023-145
Published date grouping: August 2023
Date: Aug. 1, 2023
Headline: SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder
Release No.: 2023-144
Published date grouping: July 2023
Date: July 31, 2023
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: July 27, 2023
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: July 26, 2023
Headline: SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
Release No.: 2023-141
Published date grouping: July 2023
Date: July 26, 2023
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: July 26, 2023
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: July 26, 2023
Headline: SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading
Release No.: 2023-138
Published date grouping: July 2023
Date: July 25, 2023
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: July 21, 2023
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: July 20, 2023
Headline: SEC Charges Digital World SPAC for Material Misrepresentations to Investors
Release No.: 2023-135
Published date grouping: July 2023
Date: July 19, 2023
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: July 13, 2023
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: July 12, 2023
Headline: SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange
Release No.: 2023-132
Published date grouping: July 2023
Date: July 12, 2023
Headline: SEC Awards Whistleblower More Than $9 Million
Release No.: 2023-131
Published date grouping: July 2023
Date: July 12, 2023
Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule
Release No.: 2023-130
Published date grouping: July 2023
Date: July 12, 2023
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: July 11, 2023
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: July 7, 2023
Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members
Release No.: 2023-127
Published date grouping: July 2023
Date: July 3, 2023
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: June 30, 2023
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: June 29, 2023
Headline: SEC Charges Stockbroker and Friend with Insider Trading
Release No.: 2023-124
Published date grouping: June 2023
Date: June 29, 2023
Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement
Release No.: 2022-123
Published date grouping: June 2023
Date: June 29, 2023
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: June 29, 2023
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: June 27, 2023
Headline: SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud
Release No.: 2023-120
Published date grouping: June 2023
Date: June 27, 2023
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: June 26, 2023
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: June 23, 2023
Headline: SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme
Release No.: 2023-117
Published date grouping: June 2023
Date: June 22, 2023
Headline: SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud
Release No.: 2023-116
Published date grouping: June 2023
Date: June 21, 2023
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: June 21, 2023
Headline: SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies
Release No.: 2023-114
Published date grouping: June 2023
Date: June 20, 2023
Headline: SEC Reopens Comment Period for Position Reporting of Large Security-Based Swap Positions
Release No.: 2023-113
Published date grouping: June 2023
Date: June 20, 2023
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: June 20, 2023
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: June 17, 2023
Headline: SEC Secures Emergency Relief to Protect Binance.US Customers’ Assets
Release No.: 2023-110
Published date grouping: June 2023
Date: June 16, 2023
Headline: SEC Charges PIMCO for Disclosure and Policies and Procedures Failures
Release No.: 2023-109
Published date grouping: June 2023
Date: June 15, 2023
Headline: Michele Layne, Director of Los Angeles Regional Office, to Leave SEC
Release No.: 2023-108
Published date grouping: June 2023
Date: June 12, 2023
Headline: SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme
Release No.: 2023-107
Published date grouping: June 2023
Date: June 12, 2023
Headline: SEC Unveils New Public Service Campaign Encouraging Older Investors to Never Stop Learning
Release No.: 2023-106
Published date grouping: June 2023
Date: June 7, 2023
Headline: SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M
Release No.: 2023-105
Published date grouping: June 2023
Date: June 7, 2023
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: June 6, 2023
Headline: SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected
Release No.: 2023-103
Published date grouping: June 2023
Date: June 6, 2023
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: June 5, 2023
Headline: SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao
Release No.: 2023-101
Published date grouping: June 2023
Date: June 2, 2023
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: May 30, 2023
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: May 30, 2023
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: May 23, 2023
Headline: SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud
Release No.: 2023-97
Published date grouping: May 2023
Date: May 19, 2023
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: May 17, 2023
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: May 16, 2023
Headline: SEC Charges 10 Microcap Companies with Securities Offering Registration Violations
Release No.: 2023-94
Published date grouping: May 2023
Date: May 15, 2023
Headline: SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts
Release No.: 2023-93
Published date grouping: May 2023
Date: May 11, 2023
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: May 11, 2023
Headline: SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures
Release No.: 2023-91
Published date grouping: May 2023
Date: May 5, 2023
Headline: SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
Release No.: 2023-90
Published date grouping: May 2023
Date: May 5, 2023
Headline: SEC Issues Largest-Ever Whistleblower Award
Release No.: 2023-89
Published date grouping: May 2023
Date: May 4, 2023
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: May 4, 2023
Headline: SEC Announces New Members of Small Business Capital Formation Advisory Committee
Release No.: 2023-87
Published date grouping: May 2023
Date: May 3, 2023
Headline: SEC Adopts Amendments to Enhance Private Fund Reporting
Release No.: 2023-86
Published date grouping: May 2023
Date: May 3, 2023
Headline: SEC Adopts Amendments to Modernize Share Repurchase Disclosure
Release No.: 2023-85
Published date grouping: May 2023
Date: May 2, 2023
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: April 28, 2023
Headline: SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
Release No.: 2023-83
Published date grouping: April 2023
Date: April 26, 2023
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: April 25, 2023
Headline: Eric R. Werner Named Director of Fort Worth Regional Office
Release No.: 2023-81
Published date grouping: April 2023
Date: April 18, 2023
Headline: SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service
Release No.: 2023-80
Published date grouping: April 2023
Date: April 17, 2023
Headline: SEC Appoints Deborah J. Jeffrey as Inspector General
Release No.: 2023-79
Published date grouping: April 2023
Date: April 17, 2023
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: April 14, 2023
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: April 6, 2023
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: April 4, 2023
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: April 4, 2023
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: April 3, 2023
Headline: SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients
Release No.: 2023-73
Published date grouping: April 2023
Date: April 3, 2023
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: April 3, 2023
Headline: SEC to Highlight Free Investor Education Resources During Financial Capability Month
Release No.: 2023-71
Published date grouping: March 2023
Date: March 31, 2023
Headline: Mark Reinhold Named SEC Chief Human Capital Officer
Release No.: 2023-70
Published date grouping: March 2023
Date: March 31, 2023
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: March 31, 2023
Headline: SEC Awards More Than $12 Million to Two Whistleblowers
Release No.: 2023-68
Published date grouping: March 2023
Date: March 31, 2023
Headline: SEC to Host Municipal Securities Disclosure Conference
Release No.: 2023-67
Published date grouping: March 2023
Date: March 30, 2023
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: March 29, 2023
Headline: SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct
Release No.: 2023-65
Published date grouping: March 2023
Date: March 29, 2023
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: March 28, 2023
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: March 27, 2023
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: March 23, 2023
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: March 23, 2023
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: March 22, 2023
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: March 22, 2023
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: March 20, 2023
Headline: SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection
Release No.: 2023-57
Published date grouping: March 2023
Date: March 20, 2023
Headline: SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
Release No.: 2023-56
Published date grouping: March 2023
Date: March 16, 2023
Headline: SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud
Release No.: 2023-55
Published date grouping: March 2023
Date: March 15, 2023
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: March 15, 2023
Headline: SEC Proposes to Expand and Update Regulation SCI
Release No.: 2023-53
Published date grouping: March 2023
Date: March 15, 2023
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: March 15, 2023
Headline: SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
Release No.: 2023-51
Published date grouping: March 2023
Date: March 15, 2023
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: March 14, 2023
Headline: SEC Charges IT Services Provider DXC Technology Co. for Misleading Non-GAAP Disclosures
Release No.: 2023-49
Published date grouping: March 2023
Date: March 9, 2023
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: March 7, 2023
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2023-47
Published date grouping: March 2023
Date: March 6, 2023
Headline: SEC Charges Rio Tinto plc with Bribery Controls Failures
Release No.: 2023-46
Published date grouping: March 2023
Date: March 6, 2023
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: March 3, 2023
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: March 2, 2023
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: March 1, 2023
Headline: SEC Charges Ontrak Chairman Terren Peizer With Insider Trading
Release No.: 2023-42
Published date grouping: March 2023
Date: March 1, 2023
Headline: Fee Rate Advisory #3 for Fiscal Year 2023
Release No.: 2023-41
Published date grouping: February 2023
Date: Feb. 28, 2023
Headline: SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX
Release No.: 2023-40
Published date grouping: February 2023
Date: Feb. 24, 2023
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: Feb. 23, 2023
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: Feb. 23, 2023
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: Feb. 22, 2023
Headline: SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures
Release No.: 2023-36
Published date grouping: February 2023
Date: Feb. 21, 2023
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: Feb. 17, 2023
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: Feb. 16, 2023
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: Feb. 16, 2023
Headline: SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes
Release No.: 2023-32
Published date grouping: February 2023
Date: Feb. 16, 2023
Headline: SEC Charges Options Clearing Corporation with Rule Failures
Release No.: 2023-31
Published date grouping: February 2023
Date: Feb. 15, 2023
Headline: SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers
Release No.: 2023-30
Published date grouping: February 2023
Date: Feb. 15, 2023
Headline: SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
Release No.: 2023-29
Published date grouping: February 2023
Date: Feb. 14, 2023
Headline: SEC Proposes Revision to Privacy Act Rule
Release No.: 2023-28
Published date grouping: February 2023
Date: Feb. 14, 2023
Headline: Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
Release No.: 2023-27
Published date grouping: February 2023
Date: Feb. 14, 2023
Headline: SEC Charges Former CEO of Slync in $67 Million Offering Fraud
Release No.: 2023-26
Published date grouping: February 2023
Date: Feb. 9, 2023
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: Feb. 7, 2023
Headline: SEC Division of Examinations Announces 2023 Priorities
Release No.: 2023-24
Published date grouping: February 2023
Date: Feb. 7, 2023
Headline: SEC Seeks Applicants for Public Company Accounting Oversight Board Seat
Release No.: 2023-23
Published date grouping: February 2023
Date: Feb. 3, 2023
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: Feb. 2, 2023
Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.: 2023-21
Published date grouping: January 2023
Date: Jan. 31, 2023
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: Jan. 30, 2023
Headline: SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel
Release No.: 2023-19
Published date grouping: January 2023
Date: Jan. 25, 2023
Headline: Silvestre Fontes Named Director of Boston Regional Office
Release No.: 2023-18
Published date grouping: January 2023
Date: Jan. 25, 2023
Headline: SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
Release No.: 2023-17
Published date grouping: January 2023
Date: Jan. 24, 2023
Headline: SEC Issues $28 Million Award to Joint Whistleblowers
Release No.: 2023-16
Published date grouping: January 2023
Date: Jan. 23, 2023
Headline: Fee Rate Advisory #2 For Fiscal Year 2023
Release No.: 2023-15
Published date grouping: January 2023
Date: Jan. 23, 2023
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: Jan. 20, 2023
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: Jan. 19, 2023
Headline: SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
Release No.: 2023-12
Published date grouping: January 2023
Date: Jan. 19, 2023
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: Jan. 19, 2023
Headline: SEC Awards Approximately $18 Million to Three Whistleblowers
Release No.: 2023-10
Published date grouping: January 2023
Date: Jan. 13, 2023
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: Jan. 13, 2023
Headline: SEC Awards More Than $5 Million to Whistleblower
Release No.: 2023-8
Published date grouping: January 2023
Date: Jan. 12, 2023
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: Jan. 11, 2023
Headline: Paul Munter Named Chief Accountant
Release No.: 2023-6
Published date grouping: January 2023
Date: Jan. 10, 2023
Headline: SEC Announces Appointment of Cristina Martin Firvida as Investor Advocate
Release No.: 2023-5
Published date grouping: January 2023
Date: Jan. 9, 2023
Headline: SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination
Release No.: 2023-4
Published date grouping: January 2023
Date: Jan. 5, 2023
Headline: SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest
Release No.: 2023-3
Published date grouping: January 2023
Date: Jan. 4, 2023
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: Jan. 3, 2023
Headline: SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme
Release No.: 2023-1
Published date grouping: December 2022
Date: Dec. 27, 2022
Headline: Antonia Apps Named Director of New York Regional Office
Release No.: 2022-237
Published date grouping: December 2022
Date: Dec. 23, 2022
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: Dec. 22, 2022
Headline: SEC Announces Departure of Dan Berkovitz; Megan Barbero Named General Counsel
Release No.: 2022-235
Published date grouping: December 2022
Date: Dec. 21, 2022
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: Dec. 21, 2022
Headline: Sarah ten Siethoff Named Deputy Director of the Division of Investment Management
Release No.: 2022-233
Published date grouping: December 2022
Date: Dec. 20, 2022
Headline: SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading
Release No.: 2022-232
Published date grouping: December 2022
Date: Dec. 19, 2022
Headline: SEC Awards More Than $37 Million to Whistleblower
Release No.: 2022-231
Published date grouping: December 2022
Date: Dec. 19, 2022
Headline: SEC Charges Honeywell with Bribery Schemes in Algeria and Brazil
Release No.: 2022-230
Published date grouping: December 2022
Date: Dec. 16, 2022
Headline: SEC Small Business Advocacy Office Releases Annual Report on Capital Raising
Release No.: 2022-229
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Charges Financial Services Professional and Associate in $47 Million Front-Running Scheme
Release No.: 2022-228
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Charges Four Individuals in Crypto Pyramid Scheme that Targeted Spanish-Speaking Communities
Release No.: 2022-227
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Proposes Regulation Best Execution
Release No.: 2022-226
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution
Release No.: 2022-225
Published date grouping: December 2022
Date: Dec. 14, 2022
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: Dec. 14, 2022
Headline: SEC Proposes Amendments to Enhance Disclosure of Order Execution Information
Release No.: 2022-223
Published date grouping: December 2022
Date: Dec. 14, 2022
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: Dec. 14, 2022
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: Dec. 13, 2022
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: Dec. 13, 2022
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: Dec. 12, 2022
Headline: SEC Awards More Than $20 Million to Whistleblower
Release No.: 2022-218
Published date grouping: December 2022
Date: Dec. 7, 2022
Headline: SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering
Release No.: 2022-217
Published date grouping: December 2022
Date: Dec. 7, 2022
Headline: SEC Reopens Comment Period for Proposed Rule on Share Repurchase Disclosure Modernization
Release No.: 2022-216
Published date grouping: December 2022
Date: Dec. 5, 2022
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: Dec. 3, 2022
Headline: ABB Settles SEC Charges That It Engaged in Bribery Scheme in South Africa
Release No.: 2022-214
Published date grouping: December 2022
Date: Dec. 1, 2022
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: Dec. 1, 2022
Headline: Fort Worth Regional Director David L. Peavler to Leave SEC
Release No.: 2022-212
Published date grouping: November 2022
Date: Nov. 28, 2022
Headline: SEC Awards $20 Million to Whistleblower
Release No.: 2022-211
Published date grouping: November 2022
Date: Nov. 23, 2022
Headline: SEC Publishes FY22-26 Strategic Plan
Release No.: 2022-210
Published date grouping: November 2022
Date: Nov. 22, 2022
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: Nov. 18, 2022
Headline: SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings
Release No.: 2022-208
Published date grouping: November 2022
Date: Nov. 17, 2022
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: Nov. 15, 2022
Headline: SEC Announces Enforcement Results for FY22
Release No.: 2022-206
Published date grouping: November 2022
Date: Nov. 14, 2022
Headline: SEC Charges S&P Global Ratings with Conflict of Interest Violations
Release No.: 2022-205
Published date grouping: November 2022
Date: Nov. 10, 2022
Headline: SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme
Release No.: 2022-204
Published date grouping: November 2022
Date: Nov. 7, 2022
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: Nov. 7, 2022
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: Nov. 4, 2022
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: Nov. 2, 2022
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: Nov. 2, 2022
Headline: SEC Proposes Enhancements to Open-End Fund Liquidity Framework
Release No.: 2022-199
Published date grouping: November 2022
Date: Nov. 2, 2022
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: Oct. 31, 2022
Headline: SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme
Release No.: 2022-197
Published date grouping: October 2022
Date: Oct. 31, 2022
Headline: SEC Awards More Than $10 Million to Whistleblower
Release No.: 2022-196
Published date grouping: October 2022
Date: Oct. 27, 2022
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2022-195
Published date grouping: October 2022
Date: Oct. 26, 2022
Headline: SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
Release No.: 2022-194
Published date grouping: October 2022
Date: Oct. 26, 2022
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: Oct. 26, 2022
Headline: SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules
Release No.: 2022-192
Published date grouping: October 2022
Date: Oct. 24, 2022
Headline: SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud
Release No.: 2022-191
Published date grouping: October 2022
Date: Oct. 24, 2022
Headline: SEC Names Jason J. Burt as Regional Director of the Denver Office
Release No.: 2022-190
Published date grouping: October 2022
Date: Oct. 21, 2022
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: Oct. 13, 2022
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: Oct. 12, 2022
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: Oct. 7, 2022
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: Oct. 6, 2022
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: Oct. 3, 2022
Headline: SEC to Spotlight Financial Planning and Resilience during World Investor Week 2022
Release No.: 2022-184
Published date grouping: October 2022
Date: Oct. 3, 2022
Headline: SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security
Release No.: 2022-183
Published date grouping: September 2022
Date: Sept. 30, 2022
Headline: SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings
Release No.: 2022-182
Published date grouping: September 2022
Date: Sept. 30, 2022
Headline: SEC Charges Two Canadian Software Engineers with Insider Trading
Release No.: 2022-181
Published date grouping: September 2022
Date: Sept. 30, 2022
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: Sept. 29, 2022
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: Sept. 29, 2022
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: Sept. 29, 2022
Headline: SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets
Release No.: 2022-177
Published date grouping: September 2022
Date: Sept. 29, 2022
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: Sept. 28, 2022
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: Sept. 27, 2022
Headline: SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
Release No.: 2022-174
Published date grouping: September 2022
Date: Sept. 27, 2022
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: Sept. 26, 2022
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: Sept. 23, 2022
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: Sept. 22, 2022
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: Sept. 21, 2022
Headline: SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading
Release No.: 2022-169
Published date grouping: September 2022
Date: Sept. 20, 2022
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: Sept. 19, 2022
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: Sept. 19, 2022
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: Sept. 19, 2022
Headline: Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks
Release No.: 2022-165
Published date grouping: September 2022
Date: Sept. 15, 2022
Headline: SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations
Release No.: 2022-164
Published date grouping: September 2022
Date: Sept. 14, 2022
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: Sept. 14, 2022
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: Sept. 13, 2022
Headline: SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
Release No.: 2022-161
Published date grouping: September 2022
Date: Sept. 12, 2022
Headline: SEC Charges VMware with Misleading Investors by Obscuring Financial Performance
Release No.: 2022-160
Published date grouping: September 2022
Date: Sept. 12, 2022
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: Sept. 9, 2022
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: Sept. 9, 2022
Headline: SEC Adopts JOBS Act Inflation Adjustments
Release No.: 2022-157
Published date grouping: September 2022
Date: Sept. 9, 2022
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: Sept. 6, 2022
Headline: SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest
Release No.: 2022-155
Published date grouping: September 2022
Date: Sept. 2, 2022
Headline: SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees
Release No.: 2022-154
Published date grouping: August 2022
Date: Aug. 30, 2022
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: Aug. 26, 2022
Headline: SEC Issues First Fee Rate Advisory for Fiscal Year 2023
Release No.: 2022-152
Published date grouping: August 2022
Date: Aug. 26, 2022
Headline: SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips
Release No.: 2022-151
Published date grouping: August 2022
Date: Aug. 25, 2022
Headline: SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud
Release No.: 2022-150
Published date grouping: August 2022
Date: Aug. 25, 2022
Headline: SEC Adopts Pay Versus Performance Disclosure Rules
Release No.: 2022-149
Published date grouping: August 2022
Date: Aug. 24, 2022
Headline: SEC Publishes Draft FY22-26 Strategic Plan for Public Comment
Release No.: 2022-148
Published date grouping: August 2022
Date: Aug. 17, 2022
Headline: SEC Charges Barred Broker and His Company with Defrauding Older Americans
Release No.: 2022-147
Published date grouping: August 2022
Date: Aug. 16, 2022
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: Aug. 15, 2022
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: Aug. 15, 2022
Headline: SEC Names Monique Winkler as Regional Director of San Francisco Office
Release No.: 2022-144
Published date grouping: August 2022
Date: Aug. 15, 2022
Headline: SEC Names Nicholas Grippo as Regional Director of Philadelphia Office
Release No.: 2022-143
Published date grouping: August 2022
Date: Aug. 12, 2022
Headline: Lori H. Price Named Director of Office of Credit Ratings
Release No.: 2022-142
Published date grouping: August 2022
Date: Aug. 10, 2022
Headline: SEC Proposes to Enhance Private Fund Reporting
Release No.: 2022-141
Published date grouping: August 2022
Date: Aug. 10, 2022
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: Aug. 9, 2022
Headline: SEC Awards More Than $16 Million to Two Whistleblowers
Release No.: 2022-139
Published date grouping: August 2022
Date: Aug. 8, 2022
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: Aug. 3, 2022
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: Aug. 2, 2022
Headline: SEC Appoints Anthony C. Thompson to Second Term on PCAOB
Release No.: 2022-136
Published date grouping: August 2022
Date: Aug. 2, 2022
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: Aug. 1, 2022
Headline: SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme
Release No.: 2022-134
Published date grouping: July 2022
Date: July 29, 2022
Headline: SEC Re-Proposes Amendments to Exemption From National Securities Association Membership
Release No.: 2022-133
Published date grouping: July 2022
Date: July 28, 2022
Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
Release No.: 2022-132
Published date grouping: July 2022
Date: July 27, 2022
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: July 27, 2022
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: July 25, 2022
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: July 25, 2022
Headline: SEC Charges Former Indiana Congressman with Insider Trading
Release No.: 2022-128
Published date grouping: July 2022
Date: July 21, 2022
Headline: SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action
Release No.: 2022-127
Published date grouping: July 2022
Date: July 20, 2022
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: July 19, 2022
Headline: SEC Issues More than $17 Million Award to a Whistleblower
Release No.: 2022-125
Published date grouping: July 2022
Date: July 18, 2022
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: July 18, 2022
Headline: Jaime Lizárraga Sworn In as SEC Commissioner
Release No.: 2022-123
Published date grouping: July 2022
Date: July 15, 2022
Headline: SEC Awards Whistleblowers More Than $6 Million
Release No.: 2022-122
Published date grouping: July 2022
Date: July 13, 2022
Headline: SEC Proposes Amendments to Shareholder Proposal Rule
Release No.: 2022-121
Published date grouping: July 2022
Date: July 13, 2022
Headline: SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.: 2022-120
Published date grouping: June 2022
Date: June 30, 2022
Headline: SEC Charges Empires Consulting Corp. with Fake Trading Scheme
Release No.: 2022-119
Published date grouping: June 2022
Date: June 30, 2022
Headline: Mark T. Uyeda Sworn In as SEC Commissioner
Release No.: 2022-118
Published date grouping: June 2022
Date: June 29, 2022
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: June 29, 2022
Headline: Denver Regional Director Kurt L. Gottschall to Leave SEC
Release No.: 2022-116
Published date grouping: June 2022
Date: June 29, 2022
Headline: Tracy S. Combs Named Director of SEC’s Salt Lake Regional Office
Release No.: 2022-115
Published date grouping: June 2022
Date: June 28, 2022
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: June 23, 2022
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: June 22, 2022
Headline: SEC Announces Spring 2022 Regulatory Agenda
Release No.: 2022-112
Published date grouping: June 2022
Date: June 21, 2022
Headline: SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations
Release No.: 2022-111
Published date grouping: June 2022
Date: June 16, 2022
Headline: SEC Charges Firm and Five Brokers with Violations of Reg BI
Release No.: 2022-110
Published date grouping: June 2022
Date: June 15, 2022
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: June 14, 2022
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: June 14, 2022
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: June 14, 2022
Headline: SEC Charges Weiss Asset Management with Short Selling Violations
Release No.: 2022-106
Published date grouping: June 2022
Date: June 13, 2022
Headline: SEC Charges Former Employee of Online Gambling Company with Insider Trading
Release No.: 2022-105
Published date grouping: June 2022
Date: June 13, 2022
Headline: Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees
Release No.: 2022-104
Published date grouping: June 2022
Date: June 8, 2022
Headline: SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation
Release No.: 2022-103
Published date grouping: June 2022
Date: June 8, 2022
Headline: SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
Release No.: 2022-102
Published date grouping: June 2022
Date: June 7, 2022
Headline: SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct
Release No.: 2022-101
Published date grouping: June 2022
Date: June 6, 2022
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: June 3, 2022
Headline: SEC Updates Electronic Filing Requirements
Release No.: 2022-99
Published date grouping: June 2022
Date: June 2, 2022
Headline: SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act
Release No.: 2022-98
Published date grouping: June 2022
Date: June 2, 2022
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: June 1, 2022
Headline: SEC Announces Eight New Investor Advisory Committee Members
Release No.: 2022-96
Published date grouping: June 2022
Date: June 1, 2022
Headline: SEC Launches Game Show-Themed Public Service Campaign
Release No.: 2022-95
Published date grouping: May 2022
Date: May 31, 2022
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: May 27, 2022
Headline: SEC Announces Departure of Investor Advocate Rick A. Fleming
Release No.: 2022-93
Published date grouping: May 2022
Date: May 25, 2022
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: May 25, 2022
Headline: SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
Release No.: 2022-91
Published date grouping: May 2022
Date: May 25, 2022
Headline: SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser
Release No.: 2022-90
Published date grouping: May 2022
Date: May 25, 2022
Headline: SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities
Release No.: 2022-89
Published date grouping: May 2022
Date: May 24, 2022
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: May 24, 2022
Headline: Richard R. Best Named Director of Division of Examinations
Release No.: 2022-87
Published date grouping: May 2022
Date: May 23, 2022
Headline: SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations
Release No.: 2022-86
Published date grouping: May 2022
Date: May 20, 2022
Headline: SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations
Release No.: 2022-85
Published date grouping: May 2022
Date: May 17, 2022
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: May 16, 2022
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: May 9, 2022
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: May 6, 2022
Headline: SEC Halts Fraudulent Cryptomining and Trading Scheme
Release No.: 2022-81
Published date grouping: May 2022
Date: May 6, 2022
Headline: SEC Issues Nearly $3.5 Million Award to Four Whistleblowers
Release No.: 2022-80
Published date grouping: May 2022
Date: May 6, 2022
Headline: SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining
Release No.: 2022-79
Published date grouping: May 2022
Date: May 3, 2022
Headline: SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit
Release No.: 2022-78
Published date grouping: May 2022
Date: May 2, 2022
Headline: OMWI Reports Highlight Progress in Diversity, Equity and Inclusion
Release No.: 2022-77
Published date grouping: May 2022
Date: May 2, 2022
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: April 29, 2022
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: April 29, 2022
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: April 28, 2022
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: April 28, 2022
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: April 27, 2022
Headline: Inspector General Carl W. Hoecker to Retire from SEC
Release No.: 2022-71
Published date grouping: April 2022
Date: April 27, 2022
Headline: SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme
Release No.: 2022-70
Published date grouping: April 2022
Date: April 25, 2022
Headline: SEC Announces Older Investor Roundtable Event to Be Held April 28
Release No.: 2022-69
Published date grouping: April 2022
Date: April 25, 2022
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2022-68
Published date grouping: April 2022
Date: April 25, 2022
Headline: SEC Issues $6 Million Award to Five Whistleblowers
Release No.: 2022-67
Published date grouping: April 2022
Date: April 21, 2022
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: April 19, 2022
Headline: SEC Charges Stericycle with Bribery Schemes in Latin America
Release No.: 2022-65
Published date grouping: April 2022
Date: April 18, 2022
Headline: Atlanta-Based Pest Control Company, Former CFO Charged with Improper Earnings Management
Release No.: 2022-64
Published date grouping: April 2022
Date: April 18, 2022
Headline: SEC Charges Senior Executive of Brazilian Company with Fraud
Release No.: 2022-63
Published date grouping: April 2022
Date: April 18, 2022
Headline: SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents
Release No.: 2022-62
Published date grouping: April 2022
Date: April 14, 2022
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: April 8, 2022
Headline: Fee Rate Advisory #1 for Fiscal Year 2022
Release No.: 2022-60
Published date grouping: April 2022
Date: April 6, 2022
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: April 5, 2022
Headline: SEC: Takeover Bid of Fortune 500 Company was a Sham
Release No.: 2022-58
Published date grouping: March 2022
Date: March 30, 2022
Headline: SEC Division of Examinations Announces 2022 Examination Priorities
Release No.: 2022-57
Published date grouping: March 2022
Date: March 30, 2022
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: March 28, 2022
Headline: SEC Charges Seven California Residents in Insider Trading Ring
Release No.: 2022-55
Published date grouping: March 2022
Date: March 28, 2022
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: March 28, 2022
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: March 25, 2022
Headline: SEC Awards $1.25 Million to Whistleblower
Release No.: 2022-52
Published date grouping: March 2022
Date: March 25, 2022
Headline: San Francisco Regional Director Erin E. Schneider to Leave Agency
Release No.: 2022-51
Published date grouping: March 2022
Date: March 24, 2022
Headline: Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar
Release No.: 2022-50
Published date grouping: March 2022
Date: March 24, 2022
Headline: SEC Announces New Leadership in Examinations Division and New York Regional Office
Release No.: 2022-49
Published date grouping: March 2022
Date: March 24, 2022
Headline: Martha Legg Miller, Director of Small Business Advocate Office, to Leave SEC
Release No.: 2022-48
Published date grouping: March 2022
Date: March 23, 2022
Headline: SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M
Release No.: 2022-47
Published date grouping: March 2022
Date: March 21, 2022
Headline: SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors
Release No.: 2022-46
Published date grouping: March 2022
Date: March 18, 2022
Headline: SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
Release No.: 2022-45
Published date grouping: March 2022
Date: March 16, 2022
Headline: Dave A. Sanchez to Lead Office of Municipal Securities
Release No.: 2022-44
Published date grouping: March 2022
Date: March 16, 2022
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: March 15, 2022
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: March 15, 2022
Headline: SEC Charges Call Center Operators in $58 Million Penny Stock Scheme
Release No.: 2022-41
Published date grouping: March 2022
Date: March 11, 2022
Headline: SEC Awards Approximately $14 Million to Whistleblower
Release No.: 2022-40
Published date grouping: March 2022
Date: March 9, 2022
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: March 8, 2022
Headline: SEC Awards More Than $3.5 Million to Whistleblower
Release No.: 2022-38
Published date grouping: March 2022
Date: March 8, 2022
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: March 7, 2022
Headline: SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10
Release No.: 2022-36
Published date grouping: March 2022
Date: March 7, 2022
Headline: SEC Charges Previously-Barred Investment Adviser with Fraud
Release No.: 2022-35
Published date grouping: March 2022
Date: March 4, 2022
Headline: SEC Charges Venture Capital Fund Adviser with Misleading Investors
Release No.: 2022-34
Published date grouping: March 2022
Date: March 3, 2022
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: Feb. 25, 2022
Headline: SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments
Release No.: 2022-32
Published date grouping: February 2022
Date: Feb. 22, 2022
Headline: SEC Charges Health Care Co. and Two Former Employees for Accounting Improprieties
Release No.: 2022-31
Published date grouping: February 2022
Date: Feb. 17, 2022
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: Feb. 17, 2022
Headline: SEC Charges Infinity Q Founder with Orchestrating Massive Valuation Fraud
Release No.: 2022-29
Published date grouping: February 2022
Date: Feb. 16, 2022
Headline: Rita Sampson Named Director of Office of Equal Employment Opportunity
Release No.: 2022-28
Published date grouping: February 2022
Date: Feb. 15, 2022
Headline: SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations
Release No.: 2022-27
Published date grouping: February 2022
Date: Feb. 14, 2022
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: Feb. 11, 2022
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: Feb. 10, 2022
Headline: SEC Charges Robo-Adviser with Misleading Clients
Release No.: 2022-24
Published date grouping: February 2022
Date: Feb. 10, 2022
Headline: SEC Proposed Changes to Two Whistleblower Program Rules
Release No.: 2022-23
Published date grouping: February 2022
Date: Feb. 10, 2022
Headline: SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
Release No.: 2022-22
Published date grouping: February 2022
Date: Feb. 9, 2022
Headline: SEC Issues Proposal to Reduce Risks in Clearance and Settlement
Release No.: 2022-21
Published date grouping: February 2022
Date: Feb. 9, 2022
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: Feb. 9, 2022
Headline: SEC Proposes to Enhance Private Fund Investor Protection
Release No.: 2022-19
Published date grouping: February 2022
Date: Feb. 7, 2022
Headline: SEC Advisory Committee Meeting to Explore Small Business Investment Issues
Release No.: 2022-18
Published date grouping: February 2022
Date: Feb. 1, 2022
Headline: SEC Files Fraud Charges Alleging a Multimillion Dollar Scheme that Targeted Retirement Accounts
Release No.: 2022-17
Published date grouping: February 2022
Date: Feb. 1, 2022
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: Jan. 31, 2022
Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.: 2022-15
Published date grouping: January 2022
Date: Jan. 28, 2022
Headline: Remediation Helps Tech Company Avoid Penalties
Release No.: 2022-14
Published date grouping: January 2022
Date: Jan. 27, 2022
Headline: Kristin Snyder, Deputy Director of Division of Examinations, to Leave SEC
Release No.: 2022-13
Published date grouping: January 2022
Date: Jan. 27, 2022
Headline: LizAnn Eisen Joins Division of Corporation Finance as Deputy Director, Disclosure Program
Release No.: 2022-12
Published date grouping: January 2022
Date: Jan. 27, 2022
Headline: SEC Reopens Comment Period for Pay Versus Performance
Release No.: 2022-11
Published date grouping: January 2022
Date: Jan. 26, 2022
Headline: SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
Release No.: 2022-10
Published date grouping: January 2022
Date: Jan. 26, 2022
Headline: SEC Proposes Amendments to Enhance Private Fund Reporting
Release No.: 2022-9
Published date grouping: January 2022
Date: Jan. 24, 2022
Headline: Former Financial Advisor Charged with Stealing $5.8 Million from Client
Release No.: 2022-8
Published date grouping: January 2022
Date: Jan. 21, 2022
Headline: SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
Release No.: 2022-7
Published date grouping: January 2022
Date: Jan. 19, 2022
Headline: SEC Seeks Candidates for Investor Advisory Committee
Release No.: 2022-6
Published date grouping: January 2022
Date: Jan. 10, 2022
Headline: SEC Issues Awards Totaling More Than $4 Million to Whistleblowers
Release No.: 2022-5
Published date grouping: January 2022
Date: Jan. 6, 2022
Headline: SEC Charges Three Florida Residents in Multi-Million Dollar Insider Trading Scheme
Release No.: 2022-4
Published date grouping: January 2022
Date: Jan. 6, 2022
Headline: SEC Charges ICO Issuer and Founder with Defrauding Investors
Release No.: 2022-3
Published date grouping: January 2022
Date: Jan. 6, 2022
Headline: SEC Awards Over $13 Million To Whistleblower
Release No.: 2022-2
Published date grouping: January 2022
Date: Jan. 5, 2022
Headline: SEC Charges Additional Defendant in Phony Certificates of Deposit Scam
Release No.: 2022-1
Published date grouping: December 2021
Date: Dec. 30, 2021
Headline: Chair Gensler Announces Additions to Executive Staff
Release No.: 2021-270
Published date grouping: December 2021
Date: Dec. 29, 2021
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: Dec. 21, 2021
Headline: William Birdthistle Named Director of Division of Investment Management
Release No.: 2021-268
Published date grouping: December 2021
Date: Dec. 21, 2021
Headline: Nikola Corporation to Pay $125 Million to Resolve Fraud Charges
Release No.: 2021-267
Published date grouping: December 2021
Date: Dec. 20, 2021
Headline: SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures
Release No.: 2021-266
Published date grouping: December 2021
Date: Dec. 20, 2021
Headline: SEC Charges Five Russians in $80 Million Hacking and Trading Scheme
Release No.: 2021-265
Published date grouping: December 2021
Date: Dec. 20, 2021
Headline: SEC Charges Clinical Drug Trial Investigator with Insider Trading
Release No.: 2021-264
Published date grouping: December 2021
Date: Dec. 17, 2021
Headline: James E. Grimes Named Chief Administrative Law Judge at SEC
Release No.: 2021-263
Published date grouping: December 2021
Date: Dec. 17, 2021
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: Dec. 15, 2021
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: Dec. 15, 2021
Headline: SEC Approves 2022 PCAOB Budget and Accounting Support Fee
Release No.: 2021-260
Published date grouping: December 2021
Date: Dec. 15, 2021
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: Dec. 15, 2021
Headline: SEC Proposes Amendments to Money Market Fund Rules
Release No.: 2021-258
Published date grouping: December 2021
Date: Dec. 15, 2021
Headline: SEC Proposes New Share Repurchase Disclosure Rules
Release No.: 2021-257
Published date grouping: December 2021
Date: Dec. 15, 2021
Headline: SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures
Release No.: 2021-256
Published date grouping: December 2021
Date: Dec. 10, 2021
Headline: SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme
Release No.: 2021-255
Published date grouping: December 2021
Date: Dec. 9, 2021
Headline: Report From SEC Small Business Advocate Details Capital Raising During Past Year
Release No.: 2021-254
Published date grouping: December 2021
Date: Dec. 6, 2021
Headline: SEC Issues Whistleblower Nearly $5 Million Award
Release No.: 2021-253
Published date grouping: December 2021
Date: Dec. 6, 2021
Headline: SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme
Release No.: 2021-252
Published date grouping: December 2021
Date: Dec. 3, 2021
Headline: Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities
Release No.: 2021-251
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act
Release No.: 2021-250
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Charges Pharma CFO and Former Partner with Insider Trading
Release No.: 2021-249
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Charges Latvian Citizen With Digital Asset Fraud
Release No.: 2021-248
Published date grouping: December 2021
Date: Dec. 1, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-247
Published date grouping: November 2021
Date: Nov. 29, 2021
Headline: SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives
Release No.: 2021-246
Published date grouping: November 2021
Date: Nov. 24, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 2
Release No.: 2021-245
Published date grouping: November 2021
Date: Nov. 22, 2021
Headline: SEC Charges Oilfield Services Company and Former CEO With Failing to Disclose Executive Perks and Stock Pledges
Release No.: 2021-244
Published date grouping: November 2021
Date: Nov. 22, 2021
Headline: SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
Release No.: 2021-243
Published date grouping: November 2021
Date: Nov. 19, 2021
Headline: SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets
Release No.: 2021-242
Published date grouping: November 2021
Date: Nov. 19, 2021
Headline: McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic Information
Release No.: 2021-241
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Proposes Updates to Electronic Recordkeeping Requirements
Release No.: 2021-240
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Proposes Rule to Provide Transparency in the Securities Lending Market
Release No.: 2021-239
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Announces Enforcement Results for FY 2021
Release No.: 2021-238
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Charges Promoter with Conducting Cryptocurrency Investment Scams
Release No.: 2021-237
Published date grouping: November 2021
Date: Nov. 17, 2021
Headline: SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.: 2021-236
Published date grouping: November 2021
Date: Nov. 17, 2021
Headline: SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
Release No.: 2021-235
Published date grouping: November 2021
Date: Nov. 15, 2021
Headline: Daniel R. Gregus Named Director of Chicago Office
Release No.: 2021-234
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: Entrepreneurship in Rural and Under-Resourced Areas on Agenda for Small Business Capital Formation Advisory Committee Meeting
Release No.: 2021-233
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers
Release No.: 2021-232
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: Registration of Two Digital Tokens Halted
Release No.: 2021-231
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: SEC Charges Partner at Global Consulting Firm With Insider Trading
Release No.: 2021-230
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures
Release No.: 2021-229
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: SEC Appoints New Chairperson and Board Members to the Public Company Accounting Oversight Board
Release No.: 2021-228
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: Ahmed Abonamah Named Director of Office of Credit Ratings
Release No.: 2021-227
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act
Release No.: 2021-226
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: Nicole Creola Kelly Named Chief of SEC Whistleblower Office
Release No.: 2021-225
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: SEC Wins Jury Trial: Hedge Fund Adviser Found Liable for Securities Fraud
Release No.: 2021-224
Published date grouping: November 2021
Date: Nov. 4, 2021
Headline: SEC Updates Electronic Filing Requirements
Release No.: 2021-223
Published date grouping: November 2021
Date: Nov. 4, 2021
Headline: SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud
Release No.: 2021-222
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Charges Newport Beach Company and its Principals with Operating a $13.5 Million Ponzi-Like Scheme
Release No.: 2021-221
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
Release No.: 2021-220
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies
Release No.: 2021-219
Published date grouping: October 2021
Date: Oct. 28, 2021
Headline: Former Public Affairs Director John Nester to Retire from SEC
Release No.: 2021-218
Published date grouping: October 2021
Date: Oct. 28, 2021
Headline: SEC Charges Financial Adviser With Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins
Release No.: 2021-217
Published date grouping: October 2021
Date: Oct. 27, 2021
Headline: Post-SPAC Music Streaming Company Reaches $38.8 Million Settlement in Ongoing Fraud Action
Release No.: 2021-216
Published date grouping: October 2021
Date: Oct. 26, 2021
Headline: SEC Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committee
Release No.: 2021-215
Published date grouping: October 2021
Date: Oct. 26, 2021
Headline: SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter
Release No.: 2021-214
Published date grouping: October 2021
Date: Oct. 19, 2021
Headline: Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings
Release No.: 2021-213
Published date grouping: October 2021
Date: Oct. 18, 2021
Headline: SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
Release No.: 2021-212
Published date grouping: October 2021
Date: Oct. 15, 2021
Headline: SEC Awards $40 Million to Two Whistleblowers
Release No.: 2021-211
Published date grouping: October 2021
Date: Oct. 14, 2021
Headline: SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Release No.: 2021-210
Published date grouping: October 2021
Date: Oct. 13, 2021
Headline: SEC Modernizes Filing Fee Disclosure and Payment Methods
Release No.: 2021-209
Published date grouping: October 2021
Date: Oct. 5, 2021
Headline: SEC Charges Hemp Company and Co-Founders With Fraud
Release No.: 2021-208
Published date grouping: October 2021
Date: Oct. 4, 2021
Headline: SEC Highlights Investor Protection for World Investor Week 2021
Release No.: 2021-207
Published date grouping: October 2021
Date: Oct. 1, 2021
Headline: SEC Charges Webcast Host for Role in Market Manipulation Scheme
Release No.: 2021-206
Published date grouping: September 2021
Date: Sept. 30, 2021
Headline: SEC Charges Rogue Trader Who Bankrupted His Firm
Release No.: 2021-205
Published date grouping: September 2021
Date: Sept. 30, 2021
Headline: SEC Charges Former Executives of Registered Investment Adviser with Fraud
Release No.: 2021-204
Published date grouping: September 2021
Date: Sept. 29, 2021
Headline: SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze
Release No.: 2021-203
Published date grouping: September 2021
Date: Sept. 29, 2021
Headline: SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
Release No.: 2021-202
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"
Release No.: 2021-201
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud
Release No.: 2021-200
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: SEC Bars Two Individuals from Whistleblower Award Program
Release No.: 2021-199
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC
Release No.: 2021-198
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: Erik Gerding joins Division of Corporation Finance as Deputy Director, Legal and Regulatory Policy
Release No.: 2021-197
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: SEC Charges Florida Payday Lender and CEO with Affinity Fraud Targeting the Venezuelan-American Community
Release No.: 2021-196
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks"
Release No.: 2021-195
Published date grouping: September 2021
Date: Sept. 27, 2021
Headline: SEC Delivers Report to Congress with Recommendations from the 40th Annual Small Business Forum
Release No.: 2021-194
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings
Release No.: 2021-193
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Awards Approximately $36 Million to Whistleblower
Release No.: 2021-192
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Charges World's Largest Advertising Group with FCPA Violations
Release No.: 2021-191
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
Release No.: 2021-190
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Principals of Subprime Automobile Finance Company with Fraud
Release No.: 2021-189
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors
Release No.: 2021-188
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme
Release No.: 2021-187
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme
Release No.: 2021-186
Published date grouping: September 2021
Date: Sept. 21, 2021
Headline: SEC Charges Puerto Rican Company and Managing Members with Fraud
Release No.: 2021-185
Published date grouping: September 2021
Date: Sept. 21, 2021
Headline: Changing Dynamics Pre-IPO and Going Public on the Agenda for the SEC’s Small Business Capital Formation Advisory Committee
Release No.: 2021-184
Published date grouping: September 2021
Date: Sept. 20, 2021
Headline: SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings
Release No.: 2021-182
Published date grouping: September 2021
Date: Sept. 19, 2021
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2021-183
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme
Release No.: 2021-181
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: SEC Awards $11.5 Million to Two Whistleblowers
Release No.: 2021-180
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings
Release No.: 2021-179
Published date grouping: September 2021
Date: Sept. 16, 2021
Headline: SEC Charges School District and Former Executive with Misleading Investors in Bond Offering
Release No.: 2021-178
Published date grouping: September 2021
Date: Sept. 15, 2021
Headline: SEC Surpasses $1 Billion in Awards to Whistleblowers with Two Awards Totaling $114 Million
Release No.: 2021-177
Published date grouping: September 2021
Date: Sept. 14, 2021
Headline: SEC Charges App Annie and its Founder with Securities Fraud
Release No.: 2021-176
Published date grouping: September 2021
Date: Sept. 13, 2021
Headline: SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets
Release No.: 2021-175
Published date grouping: September 2021
Date: Sept. 3, 2021
Headline: SEC Charges The Kraft Heinz Company and Two Former Executives for Engaging in Years-Long Accounting Scheme
Release No.: 2021-174
Published date grouping: September 2021
Date: Sept. 2, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely on Sept. 9
Release No.: 2021-173
Published date grouping: September 2021
Date: Sept. 1, 2021
Headline: SEC Charges Global Crypto Lending Platform and Top Executives in $2 Billion Fraud
Release No.: 2021-172
Published date grouping: August 2021
Date: Aug. 31, 2021
Headline: SEC Monitoring Impact of Hurricane Ida on Capital Markets
Release No.: 2021-171
Published date grouping: August 2021
Date: Aug. 31, 2021
Headline: SEC Obtains Emergency Relief, Charges Couple Who Operated $18 Million Ponzi scheme
Release No.: 2021-170
Published date grouping: August 2021
Date: Aug. 30, 2021
Headline: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
Release No.: 2021-169
Published date grouping: August 2021
Date: Aug. 27, 2021
Headline: SEC Issues Whistleblower Awards Totaling $2.6 Million
Release No.: 2021-168
Published date grouping: August 2021
Date: Aug. 27, 2021
Headline: SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology
Release No.: 2021-167
Published date grouping: August 2021
Date: Aug. 26, 2021
Headline: SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
Release No.: 2021-166
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: Chair Gensler Announces Addition of Barbara Roper to Senior Staff
Release No.: 2021-165
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: SEC Charges Former CEO of Technology Company With $80 Million Fraud
Release No.: 2021-164
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme
Release No.: 2021-163
Published date grouping: August 2021
Date: Aug. 24, 2021
Headline: SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative
Release No.: 2021-162
Published date grouping: August 2021
Date: Aug. 23, 2021
Headline: SEC Enforcement Chief Counsel Joe Brenner Retires
Release No.: 2021-161
Published date grouping: August 2021
Date: Aug. 23, 2021
Headline: Fee Rate Advisory #1 for Fiscal Year 2022
Release No.: 2021-160
Published date grouping: August 2021
Date: Aug. 19, 2021
Headline: SEC Enhances Access to Financial Disclosure Data
Release No.: 2021-159
Published date grouping: August 2021
Date: Aug. 18, 2021
Headline: SEC Charges Netflix Insider Trading Ring
Release No.: 2021-158
Published date grouping: August 2021
Date: Aug. 18, 2021
Headline: Sanjay Wadhwa Named Deputy Director of Enforcement Division
Release No.: 2021-157
Published date grouping: August 2021
Date: Aug. 17, 2021
Headline: SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
Release No.: 2021-156
Published date grouping: August 2021
Date: Aug. 17, 2021
Headline: SEC Charges Biopharmaceutical Company Employee with Insider Trading
Release No.: 2021-155
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: SEC Charges Pearson plc for Misleading Investors About Cyber Breach
Release No.: 2021-154
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud
Release No.: 2021-153
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: U.S. Securities and Exchange Commission and the European Central Bank Sign Memorandum of Understanding Regarding Cooperation with Respect to Security-Based Swap Entities
Release No.: 2021-152
Published date grouping: August 2021
Date: Aug. 13, 2021
Headline: SEC Obtains Emergency Relief, Charges Two Florida Companies and their Principal Officer with Operating a Ponzi Scheme
Release No.: 2021-151
Published date grouping: August 2021
Date: Aug. 13, 2021
Headline: SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud
Release No.: 2021-150
Published date grouping: August 2021
Date: Aug. 10, 2021
Headline: SEC Issues Nearly $6 Million in Whistleblower Awards
Release No.: 2021-149
Published date grouping: August 2021
Date: Aug. 9, 2021
Headline: SEC Charges International Microcap Fraud Scheme Participants
Release No.: 2021-148
Published date grouping: August 2021
Date: Aug. 9, 2021
Headline: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange
Release No.: 2021-147
Published date grouping: August 2021
Date: Aug. 6, 2021
Headline: SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-146
Published date grouping: August 2021
Date: Aug. 6, 2021
Headline: SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings
Release No.: 2021-145
Published date grouping: August 2021
Date: Aug. 2, 2021
Headline: SEC Charges Ernst & Young, Three Audit Partners, and Former Public Company CAO with Audit Independence Misconduct
Release No.: 2021-144
Published date grouping: August 2021
Date: Aug. 2, 2021
Headline: SEC Issues Whistleblower Awards Totaling More Than $4 Million
Release No.: 2021-143
Published date grouping: July 2021
Date: July 30, 2021
Headline: SEC Charges Real Estate CEO With Defrauding Investors
Release No.: 2021-142
Published date grouping: July 2021
Date: July 29, 2021
Headline: SEC Charges Founder of Nikola Corp. With Fraud
Release No.: 2021-141
Published date grouping: July 2021
Date: July 28, 2021
Headline: SEC Charges Unlicensed Broker With Defrauding Investors
Release No.: 2021-140
Published date grouping: July 2021
Date: July 26, 2021
Headline: SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
Release No.: 2021-139
Published date grouping: July 2021
Date: July 26, 2021
Headline: SEC Issues Substituted Compliance Determination for France
Release No.: 2021-138
Published date grouping: July 2021
Date: July 22, 2021
Headline: YJ Fischer to Join SEC as Director of the Office of International Affairs
Release No.: 2021-137
Published date grouping: July 2021
Date: July 22, 2021
Headline: SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies
Release No.: 2021-136
Published date grouping: July 2021
Date: July 22, 2021
Headline: SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
Release No.: 2021-135
Published date grouping: July 2021
Date: July 21, 2021
Headline: SEC Awards Nearly $3 Million to Whistleblower
Release No.: 2021-134
Published date grouping: July 2021
Date: July 21, 2021
Headline: SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures
Release No.: 2021-133
Published date grouping: July 2021
Date: July 19, 2021
Headline: SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies
Release No.: 2021-132
Published date grouping: July 2021
Date: July 19, 2021
Headline: SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer
Release No.: 2021-131
Published date grouping: July 2021
Date: July 19, 2021
Headline: UBS Settles Charges Related to Investments in Complex Exchange-Traded Product
Release No.: 2021-130
Published date grouping: July 2021
Date: July 16, 2021
Headline: Chair Gensler Announces Composition of Policy Team
Release No.: 2021-129
Published date grouping: July 2021
Date: July 15, 2021
Headline: SEC Awards More Than $1 Million to Whistleblower
Release No.: 2021-128
Published date grouping: July 2021
Date: July 15, 2021
Headline: SEC Charges Executives of Network Infrastructure Company With Accounting Fraud
Release No.: 2021-127
Published date grouping: July 2021
Date: July 14, 2021
Headline: Daniel S. Kahl Appointed Acting Director of the Division of Examinations; Peter B. Driscoll to Depart Agency
Release No.: 2021-126
Published date grouping: July 2021
Date: July 14, 2021
Headline: ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities
Release No.: 2021-125
Published date grouping: July 2021
Date: July 13, 2021
Headline: SEC Charges SPAC, Sponsor, Merger Target, and CEOs for Misleading Disclosures Ahead of Proposed Business Combination
Release No.: 2021-124
Published date grouping: July 2021
Date: July 13, 2021
Headline: SEC Announces $97 Million Enforcement Action Against TIAA Subsidiary for Violations in Retirement Rollover Recommendations
Release No.: 2021-123
Published date grouping: July 2021
Date: July 9, 2021
Headline: SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web
Release No.: 2021-122
Published date grouping: July 2021
Date: July 9, 2021
Headline: SEC Charges Three Individuals with Insider Trading
Release No.: 2021-121
Published date grouping: July 2021
Date: July 7, 2021
Headline: SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures
Release No.: 2021-120
Published date grouping: July 2021
Date: July 2, 2021
Headline: SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
Release No.: 2021-119
Published date grouping: July 2021
Date: July 2, 2021
Headline: SEC Charges Hedge Fund Trader in Lucrative Front-Running Scheme
Release No.: 2021-118
Published date grouping: June 2021
Date: June 30, 2021
Headline: SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading
Release No.: 2021-117
Published date grouping: June 2021
Date: June 30, 2021
Headline: SEC Engages with Students for Their Perspectives on Emerging Issues
Release No.: 2021-116
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Charges Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds and Misappropriation of Investor Funds
Release No.: 2021-115
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement
Release No.: 2021-114
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer
Release No.: 2021-113
Published date grouping: June 2021
Date: June 25, 2021
Headline: SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme
Release No.: 2021-112
Published date grouping: June 2021
Date: June 25, 2021
Headline: Joint Readout of Principals Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
Release No.: 2021-111
Published date grouping: June 2021
Date: June 24, 2021
Headline: SEC Awards More Than $1 Million to Whistleblower
Release No.: 2021-110
Published date grouping: June 2021
Date: June 23, 2021
Headline: New SEC Public Service Campaign: Investing Regularly Really Adds Up
Release No.: 2021-109
Published date grouping: June 2021
Date: June 22, 2021
Headline: SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering
Release No.: 2021-108
Published date grouping: June 2021
Date: June 21, 2021
Headline: SEC Obtains Asset Freeze Against Offshore Fund and Its Operators
Release No.: 2021-107
Published date grouping: June 2021
Date: June 21, 2021
Headline: SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
Release No.: 2021-106
Published date grouping: June 2021
Date: June 17, 2021
Headline: SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze
Release No.: 2021-105
Published date grouping: June 2021
Date: June 15, 2021
Headline: SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
Release No.: 2021-104
Published date grouping: June 2021
Date: June 15, 2021
Headline: Six Charged in Silicon Valley Insider Trading Ring
Release No.: 2021-103
Published date grouping: June 2021
Date: June 15, 2021
Headline: SEC Charges Issuer With Cybersecurity Disclosure Controls Failures
Release No.: 2021-102
Published date grouping: June 2021
Date: June 14, 2021
Headline: Renee Jones to Join SEC as Director of Corporation Finance; John Coates Named SEC General Counsel
Release No.: 2021-101
Published date grouping: June 2021
Date: June 14, 2021
Headline: SEC Awards Approximately $3 Million to Two Whistleblowers
Release No.: 2021-100
Published date grouping: June 2021
Date: June 11, 2021
Headline: SEC Announces Annual Regulatory Agenda
Release No.: 2021-99
Published date grouping: June 2021
Date: June 11, 2021
Headline: SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
Release No.: 2021-98
Published date grouping: June 2021
Date: June 9, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-97
Published date grouping: June 2021
Date: June 8, 2021
Headline: Gary Gensler Announces Additions to Executive Staff
Release No.: 2021-96
Published date grouping: June 2021
Date: June 8, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely On June 10
Release No.: 2021-95
Published date grouping: June 2021
Date: June 7, 2021
Headline: SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data
Release No.: 2021-94
Published date grouping: June 2021
Date: June 4, 2021
Headline: SEC Announces Removal of William D. Duhnke III from the Public Company Accounting Oversight Board; Duane M. DesParte to Serve as Acting Chair
Release No.: 2021-93
Published date grouping: June 2021
Date: June 3, 2021
Headline: David Saltiel Named SEC Acting Director of Trading and Markets; Christian Sabella Departs the Agency
Release No.: 2021-92
Published date grouping: June 2021
Date: June 2, 2021
Headline: SEC Awards More Than $23 Million to Whistleblowers
Release No.: 2021-91
Published date grouping: May 2021
Date: May 28, 2021
Headline: SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering
Release No.: 2021-90
Published date grouping: May 2021
Date: May 27, 2021
Headline: SEC Charges Mutual Fund Executives with Misleading Investors Regarding Investment Risks in Funds that Suffered $1 Billion Trading Loss
Release No.: 2021-89
Published date grouping: May 2021
Date: May 27, 2021
Headline: SEC Awards More Than $4 Million to Whistleblower
Release No.: 2021-88
Published date grouping: May 2021
Date: May 19, 2021
Headline: SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
Release No.: 2021-87
Published date grouping: May 2021
Date: May 19, 2021
Headline: SEC Awards More Than $28 Million to Whistleblower Who Aided SEC and Other Agency Actions
Release No.: 2021-86
Published date grouping: May 2021
Date: May 17, 2021
Headline: SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-85
Published date grouping: May 2021
Date: May 17, 2021
Headline: SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
Release No.: 2021-84
Published date grouping: May 2021
Date: May 12, 2021
Headline: SEC Awards Approximately $3.6 Million to Whistleblower
Release No.: 2021-83
Published date grouping: May 2021
Date: May 12, 2021
Headline: SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
Release No.: 2021-82
Published date grouping: May 2021
Date: May 10, 2021
Headline: SEC Awards $22 Million to Two Whistleblowers
Release No.: 2021-81
Published date grouping: May 2021
Date: May 7, 2021
Headline: SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR
Release No.: 2021-80
Published date grouping: May 2021
Date: May 5, 2021
Headline: Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap
Release No.: 2021-79
Published date grouping: May 2021
Date: May 3, 2021
Headline: SEC Charges Under Armour Inc. With Disclosure Failures
Release No.: 2021-78
Published date grouping: May 2021
Date: May 3, 2021
Headline: Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis
Release No.: 2021-77
Published date grouping: April 2021
Date: April 29, 2021
Headline: SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT
Release No.: 2021-76
Published date grouping: April 2021
Date: April 28, 2021
Headline: Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement
Release No.: 2021-75
Published date grouping: April 2021
Date: April 26, 2021
Headline: SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme
Release No.: 2021-74
Published date grouping: April 2021
Date: April 26, 2021
Headline: Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30
Release No.: 2021-73
Published date grouping: April 2021
Date: April 26, 2021
Headline: SEC Names Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations
Release No.: 2021-72
Published date grouping: April 2021
Date: April 23, 2021
Headline: SEC Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud
Release No.: 2021-71
Published date grouping: April 2021
Date: April 23, 2021
Headline: SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-70
Published date grouping: April 2021
Date: April 22, 2021
Headline: Alex Oh Named SEC Director of Enforcement
Release No.: 2021-69
Published date grouping: April 2021
Date: April 19, 2021
Headline: Gary Gensler Names Initial Senior Staff Members
Release No.: 2021-68
Published date grouping: April 2021
Date: April 19, 2021
Headline: SEC's New York and San Francisco Regional Offices to Co-Host a Webcast Exploring the Experiences of Tech Entrepreneurs of Color When Capital Raising
Release No.: 2021-67
Published date grouping: April 2021
Date: April 19, 2021
Headline: SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
Release No.: 2021-66
Published date grouping: April 2021
Date: April 17, 2021
Headline: Gary Gensler Sworn in as Member of the SEC
Release No.: 2021-65
Published date grouping: April 2021
Date: April 16, 2021
Headline: SEC Reopens Comment Period for Universal Proxy
Release No.: 2021-64
Published date grouping: April 2021
Date: April 16, 2021
Headline: Joel R. Levin, Director of Chicago Regional Office, to Leave SEC
Release No.: 2021-63
Published date grouping: April 2021
Date: April 15, 2021
Headline: SEC Awards Over $50 Million to Joint Whistleblowers
Release No.: 2021-62
Published date grouping: April 2021
Date: April 14, 2021
Headline: SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud
Release No.: 2021-61
Published date grouping: April 2021
Date: April 9, 2021
Headline: SEC Awards Approximately $2.5 Million to Whistleblower
Release No.: 2021-60
Published date grouping: April 2021
Date: April 8, 2021
Headline: Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency
Release No.: 2021-59
Published date grouping: April 2021
Date: April 6, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges Actor with Operating a $690 Million Ponzi Scheme
Release No.: 2021-58
Published date grouping: April 2021
Date: April 5, 2021
Headline: SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France
Release No.: 2021-57
Published date grouping: April 2021
Date: April 5, 2021
Headline: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures
Release No.: 2021-56
Published date grouping: April 2021
Date: April 5, 2021
Headline: SEC Promotes Investor Awareness During National Financial Capability Month
Release No.: 2021-55
Published date grouping: March 2021
Date: March 29, 2021
Headline: SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awards
Release No.: 2021-54
Published date grouping: March 2021
Date: March 24, 2021
Headline: SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
Release No.: 2021-53
Published date grouping: March 2021
Date: March 22, 2021
Headline: SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues
Release No.: 2021-52
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web
Release No.: 2021-51
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges Colorado Resident with Fraud Involving Sham Bottling Company
Release No.: 2021-50
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges Co-Founders of San Francisco Biotech Company With $60 Million Fraud
Release No.: 2021-49
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges Owner of Real Estate Investment Company with Defrauding Investors
Release No.: 2021-48
Published date grouping: March 2021
Date: March 17, 2021
Headline: SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee
Release No.: 2021-47
Published date grouping: March 2021
Date: March 15, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets
Release No.: 2021-46
Published date grouping: March 2021
Date: March 9, 2021
Headline: SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
Release No.: 2021-45
Published date grouping: March 2021
Date: March 9, 2021
Headline: SEC Awards Approximately $1.5 Million to Whistleblower
Release No.: 2021-44
Published date grouping: March 2021
Date: March 5, 2021
Headline: SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
Release No.: 2021-43
Published date grouping: March 2021
Date: March 4, 2021
Headline: SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Release No.: 2021-42
Published date grouping: March 2021
Date: March 4, 2021
Headline: SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad
Release No.: 2021-41
Published date grouping: March 2021
Date: March 3, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely On March 11
Release No.: 2021-40
Published date grouping: March 2021
Date: March 3, 2021
Headline: SEC Division of Examinations Announces 2021 Examination Priorities
Release No.: 2021-39
Published date grouping: March 2021
Date: March 2, 2021
Headline: SEC Charges Seven Individuals for $45 Million Fraudulent Scheme
Release No.: 2021-38
Published date grouping: March 2021
Date: March 1, 2021
Headline: SEC Awards Over $500,000 to Two Whistleblowers
Release No.: 2021-37
Published date grouping: February 2021
Date: Feb. 26, 2021
Headline: Fee Rate Advisory #3 for Fiscal Year 2021
Release No.: 2021-36
Published date grouping: February 2021
Date: Feb. 26, 2021
Headline: SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
Release No.: 2021-35
Published date grouping: February 2021
Date: Feb. 25, 2021
Headline: SEC Issues Whistleblower Awards Totaling Over $1.7 Million
Release No.: 2021-34
Published date grouping: February 2021
Date: Feb. 24, 2021
Headline: SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks
Release No.: 2021-33
Published date grouping: February 2021
Date: Feb. 23, 2021
Headline: SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College
Release No.: 2021-32
Published date grouping: February 2021
Date: Feb. 23, 2021
Headline: SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ
Release No.: 2021-31
Published date grouping: February 2021
Date: Feb. 19, 2021
Headline: SEC Awards Almost $3 Million Total in Separate Whistleblower Awards
Release No.: 2021-30
Published date grouping: February 2021
Date: Feb. 16, 2021
Headline: SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments
Release No.: 2021-29
Published date grouping: February 2021
Date: Feb. 11, 2021
Headline: SEC Suspends Trading in Inactive Issuer Touted on Social Media
Release No.: 2021-28
Published date grouping: February 2021
Date: Feb. 5, 2021
Headline: Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement
Release No.: 2021-27
Published date grouping: February 2021
Date: Feb. 5, 2021
Headline: Katherine K. Martin, Associate Director in the Office of International Affairs, to leave SEC
Release No.: 2021-26
Published date grouping: February 2021
Date: Feb. 4, 2021
Headline: SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report
Release No.: 2021-25
Published date grouping: February 2021
Date: Feb. 4, 2021
Headline: SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors
Release No.: 2021-24
Published date grouping: February 2021
Date: Feb. 2, 2021
Headline: SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations
Release No.: 2021-23
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: SEC Charges Three Individuals in Digital Asset Frauds
Release No.: 2021-22
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: Acting Chair Allison Herren Lee Announces Executive Staff
Release No.: 2021-21
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: Satyam Khanna Named Senior Policy Advisor for Climate and ESG
Release No.: 2021-20
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: John Coates Named Acting Director of the Division of Corporation Finance
Release No.: 2021-19
Published date grouping: January 2021
Date: Jan. 27, 2021
Headline: SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud
Release No.: 2021-18
Published date grouping: January 2021
Date: Jan. 26, 2021
Headline: Manisha Kimmel to Conclude Tenure as Senior Policy Advisor to the Chair on the Consolidated Audit Trail
Release No.: 2021-17
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Paul Munter Named the SEC’s Acting Chief Accountant
Release No.: 2021-16
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Melissa Hodgman Named Acting Director of Division of Enforcement
Release No.: 2021-15
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets
Release No.: 2021-14
Published date grouping: January 2021
Date: Jan. 21, 2021
Headline: Allison Herren Lee Named Acting Chair of the SEC
Release No.: 2021-13
Published date grouping: January 2021
Date: Jan. 21, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-12
Published date grouping: January 2021
Date: Jan. 19, 2021
Headline: Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure
Release No.: 2021-11
Published date grouping: January 2021
Date: Jan. 19, 2021
Headline: Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service
Release No.: 2021-10
Published date grouping: January 2021
Date: Jan. 15, 2021
Headline: What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4
Release No.: 2021-9
Published date grouping: January 2021
Date: Jan. 15, 2021
Headline: Fee Rate Advisory #2 for Fiscal Year 2021
Release No.: 2021-8
Published date grouping: January 2021
Date: Jan. 14, 2021
Headline: SEC Awards Nearly $600,000 to Whistleblower
Release No.: 2021-7
Published date grouping: January 2021
Date: Jan. 13, 2021
Headline: Sagar Teotia to Conclude Tenure as SEC Chief Accountant
Release No.: 2021-6
Published date grouping: January 2021
Date: Jan. 12, 2021
Headline: Acting Enforcement Director Marc P. Berger to Depart the Commission
Release No.: 2021-5
Published date grouping: January 2021
Date: Jan. 12, 2021
Headline: SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investors
Release No.: 2021-4
Published date grouping: January 2021
Date: Jan. 8, 2021
Headline: SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries
Release No.: 2021-3
Published date grouping: January 2021
Date: Jan. 7, 2021
Headline: SEC Issues Over $1.1 Million to Multiple Whistleblowers
Release No.: 2021-2
Published date grouping: January 2021
Date: Jan. 7, 2021
Headline: Paul G. Cellupica, Division of Investment Management Deputy Director and Chief Counsel to Conclude Tenure at SEC
Release No.: 2021-1
Published date grouping: December 2020
Date: Dec. 30, 2020
Headline: Jed Hickman Named SEC’s EDGAR Business Office Director
Release No.: 2020-344
Published date grouping: December 2020
Date: Dec. 30, 2020
Headline: SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters
Release No.: 2020-343
Published date grouping: December 2020
Date: Dec. 28, 2020
Headline: Elad Roisman Named Acting Chairman of the SEC
Release No.: 2020-342
Published date grouping: December 2020
Date: Dec. 28, 2020
Headline: SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud
Release No.: 2020-341
Published date grouping: December 2020
Date: Dec. 23, 2020
Headline: SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers
Release No.: 2020-340
Published date grouping: December 2020
Date: Dec. 23, 2020
Headline: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure
Release No.: 2020-339
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Charges Ripple and Two Executives with Conducting $1.3 Billion Unregistered Securities Offering
Release No.: 2020-338
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: Charles Koretke Named Managing Executive of Division of Examinations
Release No.: 2020-337
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Proposes Amendments to Rule 144 and Form 144
Release No.: 2020-336
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: Dalia Blass to Conclude Tenure as Director of the Division of Investment Management
Release No.: 2020-335
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Adopts Modernized Marketing Rule for Investment Advisers
Release No.: 2020-334
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Awards Over $1.6 Million to Whistleblower
Release No.: 2020-333
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France
Release No.: 2020-332
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC and CONSOB Sign New Supervisory Cooperation Arrangement
Release No.: 2020-331
Published date grouping: December 2020
Date: Dec. 21, 2020
Headline: SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy
Release No.: 2020-330
Published date grouping: December 2020
Date: Dec. 21, 2020
Headline: SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community
Release No.: 2020-329
Published date grouping: December 2020
Date: Dec. 21, 2020
Headline: S.P. Kothari to Conclude Tenure As SEC Chief Economist and Division of Economic and Risk Analysis Director
Release No.: 2020-328
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device
Release No.: 2020-327
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Releases 2020 Office of Credit Rating Reports
Release No.: 2020-326
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million
Release No.: 2020-325
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: Small Business Advocate Releases Annual Report for Fiscal Year 2020
Release No.: 2020-324
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets
Release No.: 2020-323
Published date grouping: December 2020
Date: Dec. 17, 2020
Headline: SEC Approves 2021 PCAOB Budget and Accounting Support Fee
Release No.: 2020-322
Published date grouping: December 2020
Date: Dec. 17, 2020
Headline: SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution
Release No.: 2020-321
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
Release No.: 2020-320
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges
Release No.: 2020-319
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers
Release No.: 2020-318
Published date grouping: December 2020
Date: Dec. 15, 2020
Headline: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director
Release No.: 2020-317
Published date grouping: December 2020
Date: Dec. 14, 2020
Headline: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
Release No.: 2020-316
Published date grouping: December 2020
Date: Dec. 11, 2020
Headline: SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill
Release No.: 2020-315
Published date grouping: December 2020
Date: Dec. 10, 2020
Headline: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division
Release No.: 2020-314
Published date grouping: December 2020
Date: Dec. 10, 2020
Headline: SEC Staff Supplements Quarterly Private Funds Statistics
Release No.: 2020-313
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
Release No.: 2020-312
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data
Release No.: 2020-311
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: Global Securities Pricing Service to Pay $8 Million for Compliance Failures
Release No.: 2020-310
Published date grouping: December 2020
Date: Dec. 8, 2020
Headline: Robert Stebbins to Conclude Tenure as SEC General Counsel
Release No.: 2020-309
Published date grouping: December 2020
Date: Dec. 8, 2020
Headline: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors
Release No.: 2020-308
Published date grouping: December 2020
Date: Dec. 7, 2020
Headline: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million
Release No.: 2020-307
Published date grouping: December 2020
Date: Dec. 4, 2020
Headline: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
Release No.: 2020-306
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Announces New Investor Advisory Committee Members
Release No.: 2020-305
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: Nekia Hackworth Jones Named Director of Atlanta Regional Office
Release No.: 2020-304
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Announces Office Focused on Innovation and Financial Technology
Release No.: 2020-303
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Modernizes Framework for Fund Valuation Practices
Release No.: 2020-302
Published date grouping: December 2020
Date: Dec. 2, 2020
Headline: Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion
Release No.: 2020-301
Published date grouping: December 2020
Date: Dec. 2, 2020
Headline: SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters
Release No.: 2020-300
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Release No.: 2020-299
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
Release No.: 2020-298
Published date grouping: December 2020
Date: Dec. 1, 2020
