Published date grouping: April 2020
Date: April 6, 2020
Title: Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data
Release No.: 2020-81
Published date grouping: April 2020
Date: April 3, 2020
Title: SEC Awards Approximately $2 Million to Whistleblower
Release No.: 2020-80
Published date grouping: April 2020
Date: April 2, 2020
Title: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period
Release No.: 2020-79
Published date grouping: April 2020
Date: April 1, 2020
Title: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts
Release No.: 2020-78
Published date grouping: March 2020
Date: March 31, 2020
Title: SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising
Release No.: 2020-77
Published date grouping: March 2020
Date: March 31, 2020
Title: SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses
Release No.: 2020-76
Published date grouping: March 2020
Date: March 30, 2020
Title: SEC Awards $450,000 to Whistleblower
Release No.: 2020-75
Published date grouping: March 2020
Date: March 26, 2020
Title: SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
Release No.: 2020-74
Published date grouping: March 2020
Date: March 25, 2020
Title: SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-73
Published date grouping: March 2020
Date: March 24, 2020
Title: SEC Charges Unregistered Penny Stock Dealer
Release No.: 2020-72
Published date grouping: March 2020
Date: March 24, 2020
Title: SEC Awards Over $570,000 to Two Whistleblowers
Release No.: 2020-71
Published date grouping: March 2020
Date: March 23, 2020
Title: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
Release No.: 2020-70
Published date grouping: March 2020
Date: March 23, 2020
Title: SEC Awards Over $1.6 Million to Whistleblower
Release No.: 2020-69
Published date grouping: March 2020
Date: March 22, 2020
Title: SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-68
Published date grouping: March 2020
Date: March 21, 2020
Title: SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
Release No.: 2020-67
Published date grouping: March 2020
Date: March 20, 2020
Title: SEC Emergency Action Stops Digital Asset Scam
Release No.: 2020-66
Published date grouping: March 2020
Date: March 16, 2020
Title: Jury Finds Investment Adviser and its Owner Liable for Fraud
Release No.: 2020-65
Published date grouping: March 2020
Date: March 14, 2020
Title: Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor
Release No.: 2020-64
Published date grouping: March 2020
Date: March 13, 2020
Title: SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures
Release No.: 2020-63
Published date grouping: March 2020
Date: March 13, 2020
Title: SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-62
Published date grouping: March 2020
Date: March 13, 2020
Title: SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
Release No.: 2020-61
Published date grouping: March 2020
Date: March 12, 2020
Title: SEC Wins Jury Trial Against Microcap Fraudsters
Release No.: 2020-60
Published date grouping: March 2020
Date: March 12, 2020
Title: Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC
Release No.: 2020-59
Published date grouping: March 2020
Date: March 12, 2020
Title: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions
Release No.: 2020-58
Published date grouping: March 2020
Date: March 11, 2020
Title: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.: 2020-57
Published date grouping: March 2020
Date: March 10, 2020
Title: SEC Halts Fraudulent Offering By Florida Investment Adviser
Release No.: 2020-56
Published date grouping: March 2020
Date: March 9, 2020
Title: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure
Release No.: 2020-17
Published date grouping: March 2020
Date: March 4, 2020
Title: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework
Release No.: 2020-55
Published date grouping: March 2020
Date: March 4, 2020
Title: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs
Release No.: 2020-54
Published date grouping: March 2020
Date: March 4, 2020
Title: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19)
Release No.: 2020-53
Published date grouping: March 2020
Date: March 2, 2020
Title: SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis
Release No.: 2020-52
Published date grouping: March 2020
Date: March 2, 2020
Title: SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies
Release No.: 2020-51
Published date grouping: March 2020
Date: March 2, 2020
Title: SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names
Release No.: 2020-50
Published date grouping: February 2020
Date: Feb. 28, 2020
Title: Fee Rate Advisory #3 For Fiscal Year 2020
Release No.: 2020-49
Published date grouping: February 2020
Date: Feb. 28, 2020
Title: SEC Charges Cardinal Health With FCPA Violations
Release No.: 2020-48
Published date grouping: February 2020
Date: Feb. 28, 2020
Title: Antonia Chion, Associate Director of SEC's Enforcement Division, to Retire After 32 Years of Service
Release No.: 2020-47
Published date grouping: February 2020
Date: Feb. 28, 2020
Title: SEC Awards More Than $7 Million to Whistleblower
Release No.: 2020-46
Published date grouping: February 2020
Date: Feb. 27, 2020
Title: Kelly L. Gibson Named Director of SEC's Philadelphia Office
Release No.: 2020-45
Published date grouping: February 2020
Date: Feb. 27, 2020
Title: SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors
Release No.: 2020-44
Published date grouping: February 2020
Date: Feb. 27, 2020
Title: SEC Charges Wells Fargo In Connection With Investment Recommendation Practices
Release No.: 2020-43
Published date grouping: February 2020
Date: Feb. 27, 2020
Title: Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering
Release No.: 2020-42
Published date grouping: February 2020
Date: Feb. 26, 2020
Title: G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC
Release No.: 2020-41
Published date grouping: February 2020
Date: Feb. 25, 2020
Title: EVENT POSTPONED: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Release No.: 2020-40
Published date grouping: February 2020
Date: Feb. 24, 2020
Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2020-39
Published date grouping: February 2020
Date: Feb. 21, 2020
Title: Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit
Release No.: 2020-38
Published date grouping: February 2020
Date: Feb. 19, 2020
Title: ICO Issuer Settles SEC Registration Charges, Agrees to Return Funds and Register Tokens As Securities
Release No.: 2020-37
Published date grouping: February 2020
Date: Feb. 19, 2020
Title: SEC Charges Global Alcohol Producer with Disclosure Failures
Release No.: 2020-36
Published date grouping: February 2020
Date: Feb. 18, 2020
Title: SEC Charges Real Estate Company and Executives With Defrauding Retail Investors, Obtains Emergency Relief
Release No.: 2020-35
Published date grouping: February 2020
Date: Feb. 14, 2020
Title: SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data
Release No.: 2020-34
Published date grouping: February 2020
Date: Feb. 13, 2020
Title: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.: 2020-33
Published date grouping: February 2020
Date: Feb. 11, 2020
Title: SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
Release No.: 2020-32
Published date grouping: February 2020
Date: Feb. 10, 2020
Title: Paul A. Montoya Named Associate Regional Director in Chicago Office
Release No.: 2020-31
Published date grouping: February 2020
Date: Feb. 7, 2020
Title: SEC Investor Advisory Committee to Meet on Feb. 27
Release No.: 2020-30
Published date grouping: February 2020
Date: Feb. 6, 2020
Title: ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs
Release No.: 2020-29
Published date grouping: February 2020
Date: Feb. 6, 2020
Title: SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2020-28
Published date grouping: February 2020
Date: Feb. 4, 2020
Title: SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme
Release No.: 2020-27
Published date grouping: January 2020
Date: Jan. 31, 2020
Title: SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors
Release No.: 2020-26
Published date grouping: January 2020
Date: Jan. 30, 2020
Title: SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
Release No.: 2020-25
Published date grouping: January 2020
Date: Jan. 30, 2020
Title: Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule
Release No.: 2020-24
Published date grouping: January 2020
Date: Jan. 28, 2020
Title: SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee
Release No.: 2020-23
Published date grouping: January 2020
Date: Jan. 28, 2020
Title: SEC Names Ray McInerney as Freedom of Information Act Officer
Release No.: 2020-22
Published date grouping: January 2020
Date: Jan. 27, 2020
Title: SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
Release No.: 2020-21
Published date grouping: January 2020
Date: Jan. 27, 2020
Title: SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
Release No.: 2020-20
Published date grouping: January 2020
Date: Jan. 24, 2020
Title: SEC Publishes Annual Reports on Credit Rating Agencies
Release No.: 2020-19
Published date grouping: January 2020
Date: Jan. 24, 2020
Title: SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Release No.: 2020-18
Published date grouping: January 2020
Date: Jan. 23, 2020
Title: Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud
Release No.: 2020-16
Published date grouping: January 2020
Date: Jan. 22, 2020
Title: SEC Awards Whistleblowers Whose Information Helped Stop Fraud
Release No.: 2020-15
Published date grouping: January 2020
Date: Jan. 21, 2020
Title: SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
Release No.: 2020-14
Published date grouping: January 2020
Date: Jan. 17, 2020
Title: SEC to Report on State of Small Business Capital Formation in the U.S.
Release No.: 2020-13
Published date grouping: January 2020
Date: Jan. 17, 2020
Title: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity
Release No.: 2020-12
Published date grouping: January 2020
Date: Jan. 16, 2020
Title: Austin Gerig Named as SEC’s Chief Data Officer
Release No.: 2020-11
Published date grouping: January 2020
Date: Jan. 14, 2020
Title: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme
Release No.: 2020-10
Published date grouping: January 2020
Date: Jan. 10, 2020
Title: SEC Names Allen Blume as Deputy Chief Financial Officer
Release No.: 2020-9
Published date grouping: January 2020
Date: Jan. 10, 2020
Title: SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources
Release No.: 2020-8
Published date grouping: January 2020
Date: Jan. 9, 2020
Title: Fee Rate Advisory #2 for Fiscal Year 2020
Release No.: 2020-7
Published date grouping: January 2020
Date: Jan. 9, 2020
Title: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Release No.: 2020-6
Published date grouping: January 2020
Date: Jan. 8, 2020
Title: SEC Proposes Improvements to Governance of Market Data Plans
Release No.: 2020-5
Published date grouping: January 2020
Date: Jan. 7, 2020
Title: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
Release No.: 2020-4
Published date grouping: January 2020
Date: Jan. 7, 2020
Title: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting
Release No.: 2020-3
Published date grouping: January 2020
Date: Jan. 3, 2020
Title: Longfin CEO Settles Fraud Action
Release No.: 2020-2
Published date grouping: January 2020
Date: Jan. 2, 2020
Title: SEC Charges Six Individuals in International Microcap Fraud Schemes
Release No.: 2020-1
Published date grouping: December 2019
Date: Dec. 30, 2019
Title: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
Release No.: 2019-276
Published date grouping: December 2019
Date: Dec. 23, 2019
Title: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 30 Years of Public Service
Release No.: 2019-275
Published date grouping: December 2019
Date: Dec. 19, 2019
Title: SEC Charges Recidivist Investment Adviser With Defrauding Retirees
Release No.: 2019-274
Published date grouping: December 2019
Date: Dec. 19, 2019
Title: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion
Release No.: 2019-273
Published date grouping: December 2019
Date: Dec. 19, 2019
Title: Small Business Advocate Releases First Annual Report
Release No.: 2019-272
Published date grouping: December 2019
Date: Dec. 19, 2019
Title: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community
Release No.: 2019-271
Published date grouping: December 2019
Date: Dec. 19, 2019
Title: SEC Names David Bottom as Chief Information Officer
Release No.: 2019-270
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: MetLife to Pay $10 Million for Longstanding Internal Control Failures
Release No.: 2019-269
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer
Release No.: 2019-268
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens
Release No.: 2019-267
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: SEC Approves 2020 PCAOB Budget and Accounting Support Fee
Release No.: 2019-266
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments
Release No.: 2019-265
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules
Release No.: 2019-264
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
Release No.: 2019-263
Published date grouping: December 2019
Date: Dec. 18, 2019
Title: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps
Release No.: 2019-262
Published date grouping: December 2019
Date: Dec. 17, 2019
Title: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring
Release No.: 2019-261
Published date grouping: December 2019
Date: Dec. 16, 2019
Title: SEC Charges Former Goldman Sachs Executive With FCPA Violations
Release No.: 2019-260
Published date grouping: December 2019
Date: Dec. 11, 2019
Title: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO
Release No.: 2019-259
Published date grouping: December 2019
Date: Dec. 10, 2019
Title: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
Release No.: 2019-258
