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

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Published date grouping
Date
Headline
Release No.
Published date grouping:May 2021 Date: Headline: SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR Release No.:2021-80
Published date grouping:May 2021 Date: Headline: Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap Release No.:2021-79
Published date grouping:May 2021 Date: Headline: SEC Charges Under Armour Inc. With Disclosure Failures Release No.:2021-78
Published date grouping:May 2021 Date: Headline: Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis Release No.:2021-77
Published date grouping:April 2021 Date: Headline: SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT Release No.:2021-76
Published date grouping:April 2021 Date: Headline: Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement Release No.:2021-75
Published date grouping:April 2021 Date: Headline: SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme Release No.:2021-74
Published date grouping:April 2021 Date: Headline: Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30 Release No.:2021-73
Published date grouping:April 2021 Date: Headline: SEC Names Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations Release No.:2021-72
Published date grouping:April 2021 Date: Headline: SEC Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud Release No.:2021-71
Published date grouping:April 2021 Date: Headline: SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-70
Published date grouping:April 2021 Date: Headline: Alex Oh Named SEC Director of Enforcement Release No.:2021-69
Published date grouping:April 2021 Date: Headline: Gary Gensler Names Initial Senior Staff Members Release No.:2021-68
Published date grouping:April 2021 Date: Headline: SEC's New York and San Francisco Regional Offices to Co-Host a Webcast Exploring the Experiences of Tech Entrepreneurs of Color When Capital Raising Release No.:2021-67
Published date grouping:April 2021 Date: Headline: SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud Release No.:2021-66
Published date grouping:April 2021 Date: Headline: Gary Gensler Sworn in as Member of the SEC Release No.:2021-65
Published date grouping:April 2021 Date: Headline: SEC Reopens Comment Period for Universal Proxy Release No.:2021-64
Published date grouping:April 2021 Date: Headline: Joel R. Levin, Director of Chicago Regional Office, to Leave SEC Release No.:2021-63
Published date grouping:April 2021 Date: Headline: SEC Awards Over $50 Million to Joint Whistleblowers Release No.:2021-62
Published date grouping:April 2021 Date: Headline: SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud Release No.:2021-61
Published date grouping:April 2021 Date: Headline: SEC Awards Approximately $2.5 Million to Whistleblower Release No.:2021-60
Published date grouping:April 2021 Date: Headline: Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency Release No.:2021-59
Published date grouping:April 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Actor with Operating a $690 Million Ponzi Scheme Release No.:2021-58
Published date grouping:April 2021 Date: Headline: SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France Release No.:2021-57
Published date grouping:April 2021 Date: Headline: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures Release No.:2021-56
Published date grouping:April 2021 Date: Headline: SEC Promotes Investor Awareness During National Financial Capability Month Release No.:2021-55
Published date grouping:March 2021 Date: Headline: SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awards Release No.:2021-54
Published date grouping:March 2021 Date: Headline: SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act Release No.:2021-53
Published date grouping:March 2021 Date: Headline: SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues Release No.:2021-52
Published date grouping:March 2021 Date: Headline: SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web Release No.:2021-51
Published date grouping:March 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Colorado Resident with Fraud Involving Sham Bottling Company Release No.:2021-50
Published date grouping:March 2021 Date: Headline: SEC Charges Co-Founders of San Francisco Biotech Company With $60 Million Fraud Release No.:2021-49
Published date grouping:March 2021 Date: Headline: SEC Charges Owner of Real Estate Investment Company with Defrauding Investors Release No.:2021-48
Published date grouping:March 2021 Date: Headline: SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee Release No.:2021-47
Published date grouping:March 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets Release No.:2021-46
Published date grouping:March 2021 Date: Headline: SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme Release No.:2021-45
Published date grouping:March 2021 Date: Headline: SEC Awards Approximately $1.5 Million to Whistleblower Release No.:2021-44
Published date grouping:March 2021 Date: Headline: SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts Release No.:2021-43
Published date grouping:March 2021 Date: Headline: SEC Announces Enforcement Task Force Focused on Climate and ESG Issues Release No.:2021-42
Published date grouping:March 2021 Date: Headline: SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad Release No.:2021-41
Published date grouping:March 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely On March 11 Release No.:2021-40
Published date grouping:March 2021 Date: Headline: SEC Division of Examinations Announces 2021 Examination Priorities Release No.:2021-39
Published date grouping:March 2021 Date: Headline: SEC Charges Seven Individuals for $45 Million Fraudulent Scheme Release No.:2021-38
Published date grouping:March 2021 Date: Headline: SEC Awards Over $500,000 to Two Whistleblowers Release No.:2021-37
Published date grouping:February 2021 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2021 Release No.:2021-36
Published date grouping:February 2021 Date: Headline: SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity Release No.:2021-35
Published date grouping:February 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling Over $1.7 Million Release No.:2021-34
Published date grouping:February 2021 Date: Headline: SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks Release No.:2021-33
Published date grouping:February 2021 Date: Headline: SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College Release No.:2021-32
Published date grouping:February 2021 Date: Headline: SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ Release No.:2021-31
Published date grouping:February 2021 Date: Headline: SEC Awards Almost $3 Million Total in Separate Whistleblower Awards Release No.:2021-30
Published date grouping:February 2021 Date: Headline: SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments Release No.:2021-29
Published date grouping:February 2021 Date: Headline: SEC Suspends Trading in Inactive Issuer Touted on Social Media Release No.:2021-28
Published date grouping:February 2021 Date: Headline: Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement Release No.:2021-27
Published date grouping:February 2021 Date: Headline: Katherine K. Martin, Associate Director in the Office of International Affairs, to leave SEC Release No.:2021-26
Published date grouping:February 2021 Date: Headline: SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report Release No.:2021-25
Published date grouping:February 2021 Date: Headline: SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors Release No.:2021-24
Published date grouping:February 2021 Date: Headline: SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations Release No.:2021-23
Published date grouping:February 2021 Date: Headline: SEC Charges Three Individuals in Digital Asset Frauds Release No.:2021-22
Published date grouping:February 2021 Date: Headline: Acting Chair Allison Herren Lee Announces Executive Staff Release No.:2021-21
Published date grouping:February 2021 Date: Headline: Satyam Khanna Named Senior Policy Advisor for Climate and ESG Release No.:2021-20
Published date grouping:February 2021 Date: Headline: John Coates Named Acting Director of the Division of Corporation Finance Release No.:2021-19
Published date grouping:January 2021 Date: Headline: SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud Release No.:2021-18
Published date grouping:January 2021 Date: Headline: Manisha Kimmel to Conclude Tenure as Senior Policy Advisor to the Chair on the Consolidated Audit Trail Release No.:2021-17
Published date grouping:January 2021 Date: Headline: Paul Munter Named the SEC’s Acting Chief Accountant Release No.:2021-16
Published date grouping:January 2021 Date: Headline: Melissa Hodgman Named Acting Director of Division of Enforcement Release No.:2021-15
Published date grouping:January 2021 Date: Headline: Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets Release No.:2021-14
Published date grouping:January 2021 Date: Headline: Allison Herren Lee Named Acting Chair of the SEC Release No.:2021-13
Published date grouping:January 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-12
Published date grouping:January 2021 Date: Headline: Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure Release No.:2021-11
Published date grouping:January 2021 Date: Headline: Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service Release No.:2021-10
Published date grouping:January 2021 Date: Headline: What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4 Release No.:2021-9
Published date grouping:January 2021 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2021 Release No.:2021-8
Published date grouping:January 2021 Date: Headline: SEC Awards Nearly $600,000 to Whistleblower Release No.:2021-7
Published date grouping:January 2021 Date: Headline: Sagar Teotia to Conclude Tenure as SEC Chief Accountant Release No.:2021-6
Published date grouping:January 2021 Date: Headline: Acting Enforcement Director Marc P. Berger to Depart the Commission Release No.:2021-5
Published date grouping:January 2021 Date: Headline: SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investors Release No.:2021-4
Published date grouping:January 2021 Date: Headline: SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries Release No.:2021-3
Published date grouping:January 2021 Date: Headline: SEC Issues Over $1.1 Million to Multiple Whistleblowers Release No.:2021-2
Published date grouping:January 2021 Date: Headline: Paul G. Cellupica, Division of Investment Management Deputy Director and Chief Counsel to Conclude Tenure at SEC Release No.:2021-1
Published date grouping:December 2020 Date: Headline: Jed Hickman Named SEC’s EDGAR Business Office Director Release No.:2020-344
Published date grouping:December 2020 Date: Headline: SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters Release No.:2020-343
Published date grouping:December 2020 Date: Headline: Elad Roisman Named Acting Chairman of the SEC Release No.:2020-342
Published date grouping:December 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud Release No.:2020-341
Published date grouping:December 2020 Date: Headline: SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers Release No.:2020-340
Published date grouping:December 2020 Date: Headline: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure Release No.:2020-339
Published date grouping:December 2020 Date: Headline: SEC Charges Ripple and Two Executives with Conducting $1.3 Billion Unregistered Securities Offering Release No.:2020-338
Published date grouping:December 2020 Date: Headline: Charles Koretke Named Managing Executive of Division of Examinations Release No.:2020-337
Published date grouping:December 2020 Date: Headline: SEC Proposes Amendments to Rule 144 and Form 144 Release No.:2020-336
Published date grouping:December 2020 Date: Headline: Dalia Blass to Conclude Tenure as Director of the Division of Investment Management Release No.:2020-335
Published date grouping:December 2020 Date: Headline: SEC Adopts Modernized Marketing Rule for Investment Advisers Release No.:2020-334
Published date grouping:December 2020 Date: Headline: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-333
Published date grouping:December 2020 Date: Headline: SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France Release No.:2020-332
Published date grouping:December 2020 Date: Headline: SEC and CONSOB Sign New Supervisory Cooperation Arrangement Release No.:2020-331
Published date grouping:December 2020 Date: Headline: SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy Release No.:2020-330
Published date grouping:December 2020 Date: Headline: SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community Release No.:2020-329
Published date grouping:December 2020 Date: Headline: S.P. Kothari to Conclude Tenure As SEC Chief Economist and Division of Economic and Risk Analysis Director Release No.:2020-328
Published date grouping:December 2020 Date: Headline: SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device Release No.:2020-327
Published date grouping:December 2020 Date: Headline: SEC Releases 2020 Office of Credit Rating Reports Release No.:2020-326
Published date grouping:December 2020 Date: Headline: SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million Release No.:2020-325
Published date grouping:December 2020 Date: Headline: Small Business Advocate Releases Annual Report for Fiscal Year 2020 Release No.:2020-324
Published date grouping:December 2020 Date: Headline: SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets Release No.:2020-323
Published date grouping:December 2020 Date: Headline: SEC Approves 2021 PCAOB Budget and Accounting Support Fee Release No.:2020-322
Published date grouping:December 2020 Date: Headline: SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution Release No.:2020-321
Published date grouping:December 2020 Date: Headline: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation Release No.:2020-320
Published date grouping:December 2020 Date: Headline: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges Release No.:2020-319
Published date grouping:December 2020 Date: Headline: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers Release No.:2020-318
Published date grouping:December 2020 Date: Headline: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director Release No.:2020-317
Published date grouping:December 2020 Date: Headline: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities Release No.:2020-316
Published date grouping:December 2020 Date: Headline: SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill Release No.:2020-315
Published date grouping:December 2020 Date: Headline: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division Release No.:2020-314
Published date grouping:December 2020 Date: Headline: SEC Staff Supplements Quarterly Private Funds Statistics Release No.:2020-313
Published date grouping:December 2020 Date: Headline: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations Release No.:2020-312
Published date grouping:December 2020 Date: Headline: SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data Release No.:2020-311
Published date grouping:December 2020 Date: Headline: Global Securities Pricing Service to Pay $8 Million for Compliance Failures Release No.:2020-310
Published date grouping:December 2020 Date: Headline: Robert Stebbins to Conclude Tenure as SEC General Counsel Release No.:2020-309
Published date grouping:December 2020 Date: Headline: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors Release No.:2020-308
Published date grouping:December 2020 Date: Headline: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million Release No.:2020-307
Published date grouping:December 2020 Date: Headline: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures Release No.:2020-306
Published date grouping:December 2020 Date: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2020-305
Published date grouping:December 2020 Date: Headline: Nekia Hackworth Jones Named Director of Atlanta Regional Office Release No.:2020-304
Published date grouping:December 2020 Date: Headline: SEC Announces Office Focused on Innovation and Financial Technology Release No.:2020-303
Published date grouping:December 2020 Date: Headline: SEC Modernizes Framework for Fund Valuation Practices Release No.:2020-302
Published date grouping:December 2020 Date: Headline: Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion Release No.:2020-301
Published date grouping:December 2020 Date: Headline: SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters Release No.:2020-300
Published date grouping:December 2020 Date: Headline: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality Release No.:2020-299
Published date grouping:December 2020 Date: Headline: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors Release No.:2020-298
Published date grouping:December 2020 Date: Headline: SEC Awards Over $6 Million to Joint Whistleblowers Release No.:2020-297
Published date grouping:November 2020 Date: Headline: SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee Release No.:2020-296
Published date grouping:November 2020 Date: Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 3 Release No.:2020-295
Published date grouping:November 2020 Date: Headline: SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers Release No.:2020-294
Published date grouping:November 2020 Date: Headline: SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 Release No.:2020-293
Published date grouping:November 2020 Date: Headline: SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC Release No.:2020-292
Published date grouping:November 2020 Date: Headline: SEC Charges E-Commerce Startup and CEO With Defrauding Investors Release No.:2020-291
Published date grouping:November 2020 Date: Headline: SEC Adopts Amendments to Modernize and Enhance Management’s Discussion and Analysis and other Financial Disclosures Release No.:2020-290
Published date grouping:November 2020 Date: Headline: Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office Release No.:2020-289
Published date grouping:November 2020 Date: Headline: SEC Awards Whistleblower Over $900,000 Release No.:2020-288
Published date grouping:November 2020 Date: Headline: Marie-Louise Huth Named as Associate General Counsel for Legal Policy Release No.:2020-287
Published date grouping:November 2020 Date: Headline: SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency Release No.:2020-286
Published date grouping:November 2020 Date: Headline: OECD Working Group on Bribery Issues Report Commending United States for Maintaining Leading Role in the Fight Against Transnational Corruption Release No.:2020-285
Published date grouping:November 2020 Date: Headline: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End Release No.:2020-284
Published date grouping:November 2020 Date: Headline: SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis Release No.:2020-283
Published date grouping:November 2020 Date: Headline: SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products Release No.:2020-282
Published date grouping:November 2020 Date: Headline: SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric Release No.:2020-281
Published date grouping:November 2020 Date: Headline: Mike Willis Named Associate Director in Division of Economic and Risk Analysis Release No.:2020-280
Published date grouping:November 2020 Date: Headline: SEC Publishes Notice of German Substituted Compliance Application and Proposed Order Release No.:2020-279
Published date grouping:November 2020 Date: Headline: SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards Release No.:2020-278
Published date grouping:November 2020 Date: Headline: SEC Announces New Asset Management Advisory Committee Member Release No.:2020-277
Published date grouping:November 2020 Date: Headline: SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee Release No.:2020-276
Published date grouping:November 2020 Date: Headline: SEC Awards Over $28 Million to Whistleblower Release No.:2020-275
Published date grouping:November 2020 Date: Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 Release No.:2020-274
Published date grouping:November 2020 Date: Headline: SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework Release No.:2020-273
Published date grouping:October 2020 Date: Headline: SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee Release No.:2020-272
Published date grouping:October 2020 Date: Headline: Raquel Fox, Director of the Office of International Affairs, to Depart SEC Release No.:2020-271
Published date grouping:October 2020 Date: Headline: SEC Awards Over $10 Million to Whistleblower Release No.:2020-270
Published date grouping:October 2020 Date: Headline: SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies Release No.:2020-269
Published date grouping:October 2020 Date: Headline: Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year Release No.:2020-268
Published date grouping:October 2020 Date: Headline: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions Release No.:2020-267
Published date grouping:October 2020 Date: Headline: SEC Issues Record $114 Million Whistleblower Award Release No.:2020-266
Published date grouping:October 2020 Date: Headline: SEC Charges Goldman Sachs With FCPA Violations Release No.:2020-265
Published date grouping:October 2020 Date: Headline: At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining Release No.:2020-264
Published date grouping:October 2020 Date: Headline: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28 Release No.:2020-263
Published date grouping:October 2020 Date: Headline: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering Release No.:2020-262
Published date grouping:October 2020 Date: Headline: SEC Updates Auditor Independence Rules Release No.:2020-261
Published date grouping:October 2020 Date: Headline: SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS Release No.:2020-260
Published date grouping:October 2020 Date: Headline: SEC and CFTC to Hold a Joint Open Meeting on October 22 Release No.:2020-259
Published date grouping:October 2020 Date: Headline: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan Release No.:2020-258
Published date grouping:October 2020 Date: Headline: Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality Release No.:2020-257
Published date grouping:October 2020 Date: Headline: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board Release No.:2020-256
Published date grouping:October 2020 Date: Headline: SEC Awards $800,000 to Whistleblower Release No.:2020-255
Published date grouping:October 2020 Date: Headline: SEC Charges Brazilian Meat Producers With FCPA Violations Release No.:2020-254
Published date grouping:October 2020 Date: Headline: Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-253
Published date grouping:October 2020 Date: Headline: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-252
Published date grouping:October 2020 Date: Headline: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud Release No.:2020-251
Published date grouping:October 2020 Date: Headline: SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships Release No.:2020-250
Published date grouping:October 2020 Date: Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually Release No.:2020-249
Published date grouping:October 2020 Date: Headline: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising Release No.:2020-248
Published date grouping:October 2020 Date: Headline: SEC Updates Regulatory Framework for Fund of Funds Arrangements Release No.:2020-247
Published date grouping:October 2020 Date: Headline: SEC Charges John McAfee With Fraudulently Touting ICOs Release No.:2020-246
Published date grouping:October 2020 Date: Headline: SEC Staff Releases Report on U.S. Credit Market Interconnectedness and the Effects of the COVID-19 Economic Shock Release No.:2020-245
Published date grouping:October 2020 Date: Headline: SEC’s Messages for World Investor Week 2020 Release No.:2020-244
Published date grouping:October 2020 Date: Headline: SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-243
Published date grouping:September 2020 Date: Headline: SEC Charges Hospitality Company for Failing to Disclose Executive Perks Release No.:2020-242
Published date grouping:September 2020 Date: Headline: SEC Charges HP Inc. With Disclosure Violations and Control Failures Release No.:2020-241
Published date grouping:September 2020 Date: Headline: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards Release No.:2020-240
Published date grouping:September 2020 Date: Headline: SEC Awards Almost $30 Million to Two Insider Whistleblowers Release No.:2020-239
Published date grouping:September 2020 Date: Headline: Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations in Prime Brokerage Swaps Business Release No.:2020-238
Published date grouping:September 2020 Date: Headline: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud Release No.:2020-237
Published date grouping:September 2020 Date: Headline: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme Release No.:2020-236
Published date grouping:September 2020 Date: Headline: SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes Release No.:2020-235
Published date grouping:September 2020 Date: Headline: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors Release No.:2020-234
Published date grouping:September 2020 Date: Headline: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries Release No.:2020-233
Published date grouping:September 2020 Date: Headline: SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members Release No.:2020-232
Published date grouping:September 2020 Date: Headline: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider Release No.:2020-231
Published date grouping:September 2020 Date: Headline: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations Release No.:2020-230
Published date grouping:September 2020 Date: Headline: SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS Release No.:2020-229
Published date grouping:September 2020 Date: Headline: SEC Charges Amazon Finance Manager and Family With Insider Trading Release No.:2020-228
Published date grouping:September 2020 Date: Headline: SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets Release No.:2020-227
Published date grouping:September 2020 Date: Headline: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative Release No.:2020-226
Published date grouping:September 2020 Date: Headline: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct Release No.:2020-225
Published date grouping:September 2020 Date: Headline: SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements Release No.:2020-224
Published date grouping:September 2020 Date: Headline: SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors Release No.:2020-223
Published date grouping:September 2020 Date: Headline: Engine Manufacturing Company to Pay Penalty, Take Remedial Measures to Settle Charges of Accounting Fraud Release No.:2020-222
Published date grouping:September 2020 Date: Headline: SEC Charges Lighting Products Company and Four Executives With Accounting Violations Release No.:220-221
Published date grouping:September 2020 Date: Headline: SEC Adopts Amendments to Modernize Shareholder Proposal Rule Release No.:2020-220
Published date grouping:September 2020 Date: Headline: SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program Release No.:2020-219
Published date grouping:September 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Ring of Microcap Stock Manipulators Targeting Retail Investors Release No.:2020-218
Published date grouping:September 2020 Date: Headline: SEC Charges Index Manager and Friend With Insider Trading Release No.:2020-217
Published date grouping:September 2020 Date: Headline: SEC Charges Ponzi Scheme Targeting U.S. Military Service Members Release No.:2020-216
Published date grouping:September 2020 Date: Headline: SEC Issues $2.4 Million Whistleblower Award Release No.:2020-215
Published date grouping:September 2020 Date: Headline: SEC Awards Almost $250,000 to Joint Whistleblowers Release No.:2020-214
Published date grouping:September 2020 Date: Headline: SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings Release No.:2020-213
Published date grouping:September 2020 Date: Headline: SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities Release No.:2020-212
Published date grouping:September 2020 Date: Headline: Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors Release No.:2020-211
Published date grouping:September 2020 Date: Headline: SEC Releases Report and Recommendations on the 39th Annual Small Business Forum Release No.:2020-210
Published date grouping:September 2020 Date: Headline: SEC Awards More Than $10 Million to Whistleblower Release No.:2020-209
Published date grouping:September 2020 Date: Headline: SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering Release No.:2020-208
Published date grouping:September 2020 Date: Headline: SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs Release No.:2020-207
Published date grouping:September 2020 Date: Headline: SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee Release No.:2020-206
Published date grouping:September 2020 Date: Headline: SEC Modernizes Disclosures for Banking Registrants Release No.:2020-205
Published date grouping:September 2020 Date: Headline: SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed Investors Release No.:2020-204
Published date grouping:September 2020 Date: Headline: SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy Release No.:2020-203
Published date grouping:September 2020 Date: Headline: SEC Investor Advisory Committee to Meet Virtually on September 24 Release No.:2020-202
Published date grouping:September 2020 Date: Headline: SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions Release No.:2020-201
Published date grouping:August 2020 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-200
Published date grouping:August 2020 Date: Headline: SEC Awards Over $1.25 Million to Whistleblower Release No.:2020-199
Published date grouping:August 2020 Date: Headline: SEC Charges Ponzi Scheme Targeting African Immigrants Release No.:2020-198
Published date grouping:August 2020 Date: Headline: SEC Charges Herbalife With FCPA Violations Release No.:2020-197
Published date grouping:August 2020 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2021 Release No.:2020-196
Published date grouping:August 2020 Date: Headline: SEC Charges BorgWarner for Materially Misstating its Financial Statements Release No.:2020-195
Published date grouping:August 2020 Date: Headline: SEC Monitoring Impact of Hurricane Laura on Capital Markets Release No.:2020-194
Published date grouping:August 2020 Date: Headline: SEC Halts Fraudulent Offering by Florida Investment Adviser Release No.:2020-193
Published date grouping:August 2020 Date: Headline: SEC Adopts Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K Release No.:2020-192
Published date grouping:August 2020 Date: Headline: SEC Modernizes the Accredited Investor Definition Release No.:2020-191
Published date grouping:August 2020 Date: Headline: SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations Release No.:2020-190
Published date grouping:August 2020 Date: Headline: SEC Proposes Data Security Enhancements to the CAT NMS Plan Release No.:2020-189
Published date grouping:August 2020 Date: Headline: SEC Adopts Requirements to Ensure Public Notice, Comment, and Approval Prior to Effectiveness of NMS Plan Fees Release No.:2020-188
Published date grouping:August 2020 Date: Headline: Richard R. Best Named Director of SEC's New York Regional Office Release No.:2020-187
Published date grouping:August 2020 Date: Headline: SEC Names Marc P. Berger as Deputy Director of Enforcement Release No.:2020-186
Published date grouping:August 2020 Date: Headline: SEC Names Diana Stoltzfus as Deputy Chief Accountant Release No.:2020-185
Published date grouping:August 2020 Date: Headline: Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners Release No.:2020-184
Published date grouping:August 2020 Date: Headline: SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations Release No.:2020-183
Published date grouping:August 2020 Date: Headline: Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten Gains to Harmed Clients Release No.:2020-182
Published date grouping:August 2020 Date: Headline: SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO Release No.:2020-181
Published date grouping:August 2020 Date: Headline: Deputy Chief Accountant Marc Panucci to Leave SEC Release No.:2020-180
Published date grouping:August 2020 Date: Headline: Sebastian Gomez Abero Named Deputy Director of SEC's Small Business Advocacy Office Release No.:2020-179
Published date grouping:August 2020 Date: Headline: SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports Release No.:2020-178
Published date grouping:August 2020 Date: Headline: SEC Charges Consumer Loan Company With FCPA Violations Release No.:2020-177
Published date grouping:August 2020 Date: Headline: Lindsay McCord Named Chief Accountant in Division of Corporation Finance Release No.:2020-176
Published date grouping:August 2020 Date: Headline: SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements Release No.:2020-175
Published date grouping:August 2020 Date: Headline: Enforcement Co-Director Steven Peikin to Depart Release No.:2020-174
Published date grouping:August 2020 Date: Headline: SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory Committee Release No.:2020-173
Published date grouping:August 2020 Date: Headline: SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and Disclosures Release No.:2020-172
Published date grouping:August 2020 Date: Headline: SEC Announces New Small Business Capital Formation Advisory Committee Members Release No.:2020-171
Published date grouping:August 2020 Date: Headline: Scott A. Thompson Named Associate Regional Director in Philadelphia Office Release No.:2020-170
Published date grouping:July 2020 Date: Headline: Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures Release No.:2020-169
Published date grouping:July 2020 Date: Headline: SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme Release No.:2020-168
Published date grouping:July 2020 Date: Headline: SEC Charges CEO and Company With Defrauding First Responders and Others Out of Millions Release No.:2020-167
Published date grouping:July 2020 Date: Headline: Small Business Capital Formation Advisory Committee Aug. 4 Meeting to Focus on How Capital Markets Are Serving Underrepresented Founders Release No.:2020-166
Published date grouping:July 2020 Date: Headline: SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director Release No.:2020-165
Published date grouping:July 2020 Date: Headline: SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators Release No.:2020-164
Published date grouping:July 2020 Date: Headline: Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act Release No.:2020-163
Published date grouping:July 2020 Date: Headline: SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud Release No.:2020-162
Published date grouping:July 2020 Date: Headline: SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information Release No.:2020-161
Published date grouping:July 2020 Date: Headline: SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors Release No.:2020-160
Published date grouping:July 2020 Date: Headline: UBS to Pay $10 Million for Violating Rules Which Give Priority To Retail Investors in Municipal Offerings Release No.:2020-159
Published date grouping:July 2020 Date: Headline: SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors Release No.:2020-158
Published date grouping:July 2020 Date: Headline: SEC Files Fraud Charges Against Co-Founder of IIG Release No.:2020-157
Published date grouping:July 2020 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2020-156
Published date grouping:July 2020 Date: Headline: SEC Issues $3.8 Million Whistleblower Award Release No.:2020-155
Published date grouping:July 2020 Date: Headline: SEC Charges Wind Turbine Company and Individuals With Defrauding Investors Release No.:2020-154
Published date grouping:July 2020 Date: Headline: SEC Charges App Developer for Unregistered Security-Based Swap Transactions Release No.:2020-153
Published date grouping:July 2020 Date: Headline: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets Release No.:2020-152
Published date grouping:July 2020 Date: Headline: SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee Release No.:2020-151
Published date grouping:July 2020 Date: Headline: SEC Adopts Amendments to Exemptive Applications Procedures Release No.:2020-150
Published date grouping:July 2020 Date: Headline: SEC Charges Alexion Pharmaceuticals With FCPA Violations Release No.:2020-149
Published date grouping:July 2020 Date: Headline: SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets Release No.:2020-148
Published date grouping:June 2020 Date: Headline: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers Release No.:2020-147
Published date grouping:June 2020 Date: Headline: Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges Release No.:2020-146
Published date grouping:June 2020 Date: Headline: SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin Release No.:2020-145
Published date grouping:June 2020 Date: Headline: SEC Charges Novartis AG with FCPA Violations Release No.:2020-144
Published date grouping:June 2020 Date: Headline: Financial Regulators Modify Volcker Rule Release No.:2020-143
Published date grouping:June 2020 Date: Headline: SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data Release No.:2020-142
Published date grouping:June 2020 Date: Headline: SEC Awards $125,000 to Whistleblower Release No.:2020-141
Published date grouping:June 2020 Date: Headline: Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding Release No.:2020-140
Published date grouping:June 2020 Date: Headline: SEC Extends Relief for Virtual Meetings of Fund Boards Release No.:2020-139
Published date grouping:June 2020 Date: Headline: SEC Awards Almost $700,000 to Whistleblower Release No.:2020-138
Published date grouping:June 2020 Date: Headline: SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud Release No.:2020-137
Published date grouping:June 2020 Date: Headline: Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years Release No.:2020-136
Published date grouping:June 2020 Date: Headline: Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures Release No.:2020-135
Published date grouping:June 2020 Date: Headline: SEC Names Jennifer S. Leete as Associate Director in Enforcement Division Release No.:2020-134
Published date grouping:June 2020 Date: Headline: SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever” Release No.:2020-133
Published date grouping:June 2020 Date: Headline: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million Release No.:2020-132
Published date grouping:June 2020 Date: Headline: SEC Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic Release No.:2020-131
Published date grouping:June 2020 Date: Headline: FinHub to Host Virtual Meet-Ups Release No.:2020-130
Published date grouping:June 2020 Date: Headline: New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud Release No.:2020-129
Published date grouping:June 2020 Date: Headline: SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims Release No.:2020-128
Published date grouping:June 2020 Date: Headline: Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks Release No.:2020-127
Published date grouping:June 2020 Date: Headline: SEC Awards Record Payout of Nearly $50 Million to Whistleblower Release No.:2020-126
Published date grouping:May 2020 Date: Headline: SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-125
Published date grouping:May 2020 Date: Headline: Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors Release No.:2020-124
Published date grouping:May 2020 Date: Headline: Private Equity Firm Ares Management LLC Charged With Compliance Failures Release No.:2020-123
Published date grouping:May 2020 Date: Headline: SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund Release No.:2020-122
Published date grouping:May 2020 Date: Headline: SEC Announces Virtual Conference on Municipal Securities Disclosure Release No.:2020-121
Published date grouping:May 2020 Date: Headline: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens Release No.:2020-120
Published date grouping:May 2020 Date: Headline: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee Release No.:2020-119
Published date grouping:May 2020 Date: Headline: SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses Release No.:2020-118
Published date grouping:May 2020 Date: Headline: SEC Announces 2020 Small Business Forum, to Be Held Virtually Release No.:2020-117
Published date grouping:May 2020 Date: Headline: SEC Staff to Host July 9 Roundtable on Emerging Markets Release No.:2020-116
Published date grouping:May 2020 Date: Headline: SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct Release No.:2020-115
Published date grouping:May 2020 Date: Headline: SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability Release No.:2020-114
Published date grouping:May 2020 Date: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2020-113
Published date grouping:May 2020 Date: Headline: SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations Release No.:2020-112
Published date grouping:May 2020 Date: Headline: SEC Charges Companies and CEO for Misleading COVID-19 Claims Release No.:2020-111
Published date grouping:May 2020 Date: Headline: SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud Release No.:2020-110
Published date grouping:May 2020 Date: Headline: SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients Release No.:2020-109
Published date grouping:May 2020 Date: Headline: Chairman Jay Clayton Announces Additions to Executive Staff Release No.:2020-108
Published date grouping:May 2020 Date: Headline: SEC Names John Moses Managing Executive in Chairman’s Office Release No.:2020-107
Published date grouping:May 2020 Date: Headline: Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency Release No.:2020-106
Published date grouping:May 2020 Date: Headline: SEC Investor Advisory Committee to Meet Virtually on May 21 Release No.:2020-105
Published date grouping:May 2020 Date: Headline: SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations Release No.:2020-104
Published date grouping:May 2020 Date: Headline: SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans Release No.:2020-103
Published date grouping:May 2020 Date: Headline: SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers Release No.:2020-102
Published date grouping:May 2020 Date: Headline: SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings Release No.:2020-101
Published date grouping:May 2020 Date: Headline: SEC Awards Almost $2 Million to Whistleblower Release No.:2020-100
Published date grouping:April 2020 Date: Headline: Small Business Capital Formation Advisory Committee to Discuss the SEC’s Capital Formation Proposal on May 8 Release No.:2020-99
Published date grouping:April 2020 Date: Headline: SEC Awards Over $18 Million to Whistleblower Release No.:2020-98
Published date grouping:April 2020 Date: Headline: SEC Charges Company and CEO for COVID-19 Scam Release No.:2020-97
Published date grouping:April 2020 Date: Headline: SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19 Release No.:2020-96
Published date grouping:April 2020 Date: Headline: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group Release No.:2020-95
Published date grouping:April 2020 Date: Headline: Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office Release No.:2020-94
Published date grouping:April 2020 Date: Headline: SEC Proposes to Modernize Framework for Fund Valuation Practices Release No.:2020-93
Published date grouping:April 2020 Date: Headline: SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19 Release No.:2020-92
Published date grouping:April 2020 Date: Headline: SEC Issues $5 Million Whistleblower Award Release No.:2020-91
Published date grouping:April 2020 Date: Headline: SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors Release No.:2020-90
Published date grouping:April 2020 Date: Headline: SEC Awards Over $27 Million to Whistleblower Release No.:2020-89
Published date grouping:April 2020 Date: Headline: SEC Charges Former Financial Services Executive With FCPA Violations Release No.:2020-88
Published date grouping:April 2020 Date: Headline: Natasha Guinan Named Chief Counsel, Office of the Chief Accountant Release No.:2020-87
Published date grouping:April 2020 Date: Headline: SEC Enhances Standards for Critical Market Infrastructure Release No.:2020-86
Published date grouping:April 2020 Date: Headline: Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case Release No.:2020-85
Published date grouping:April 2020 Date: Headline: SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses Release No.:2020-84
Published date grouping:April 2020 Date: Headline: In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2020-83
Published date grouping:April 2020 Date: Headline: SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS Release No.:2020-82
Published date grouping:April 2020 Date: Headline: Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data Release No.:2020-81
Published date grouping:April 2020 Date: Headline: SEC Awards Approximately $2 Million to Whistleblower Release No.:2020-80
Published date grouping:April 2020 Date: Headline: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period Release No.:2020-79
Published date grouping:April 2020 Date: Headline: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts Release No.:2020-78
Published date grouping:March 2020 Date: Headline: SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising Release No.:2020-77
Published date grouping:March 2020 Date: Headline: SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses Release No.:2020-76
Published date grouping:March 2020 Date: Headline: SEC Awards $450,000 to Whistleblower Release No.:2020-75
Published date grouping:March 2020 Date: Headline: SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19 Release No.:2020-74
Published date grouping:March 2020 Date: Headline: SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19) Release No.:2020-73
Published date grouping:March 2020 Date: Headline: SEC Charges Unregistered Penny Stock Dealer Release No.:2020-72
Published date grouping:March 2020 Date: Headline: SEC Awards Over $570,000 to Two Whistleblowers Release No.:2020-71
Published date grouping:March 2020 Date: Headline: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus Release No.:2020-70
Published date grouping:March 2020 Date: Headline: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-69
Published date grouping:March 2020 Date: Headline: SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-68
Published date grouping:March 2020 Date: Headline: SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor Release No.:2020-67
Published date grouping:March 2020 Date: Headline: SEC Emergency Action Stops Digital Asset Scam Release No.:2020-66
Published date grouping:March 2020 Date: Headline: Jury Finds Investment Adviser and its Owner Liable for Fraud Release No.:2020-65
Published date grouping:March 2020 Date: Headline: Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor Release No.:2020-64
Published date grouping:March 2020 Date: Headline: SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures Release No.:2020-63
Published date grouping:March 2020 Date: Headline: SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-62
Published date grouping:March 2020 Date: Headline: SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam Release No.:2020-61
Published date grouping:March 2020 Date: Headline: SEC Wins Jury Trial Against Microcap Fraudsters Release No.:2020-60
Published date grouping:March 2020 Date: Headline: Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC Release No.:2020-59
Published date grouping:March 2020 Date: Headline: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Release No.:2020-58
Published date grouping:March 2020 Date: Headline: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2020-57
Published date grouping:March 2020 Date: Headline: SEC Halts Fraudulent Offering By Florida Investment Adviser Release No.:2020-56
Published date grouping:March 2020 Date: Headline: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure Release No.:2020-17
Published date grouping:March 2020 Date: Headline: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework Release No.:2020-55
Published date grouping:March 2020 Date: Headline: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs Release No.:2020-54
Published date grouping:March 2020 Date: Headline: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-53
Published date grouping:March 2020 Date: Headline: SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis Release No.:2020-52
Published date grouping:March 2020 Date: Headline: SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies Release No.:2020-51
Published date grouping:March 2020 Date: Headline: SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names Release No.:2020-50
Published date grouping:February 2020 Date: Headline: Fee Rate Advisory #3 For Fiscal Year 2020 Release No.:2020-49
Published date grouping:February 2020 Date: Headline: SEC Charges Cardinal Health With FCPA Violations Release No.:2020-48
Published date grouping:February 2020 Date: Headline: Antonia Chion, Associate Director of SEC's Enforcement Division, to Retire After 32 Years of Service Release No.:2020-47
Published date grouping:February 2020 Date: Headline: SEC Awards More Than $7 Million to Whistleblower Release No.:2020-46
Published date grouping:February 2020 Date: Headline: Kelly L. Gibson Named Director of SEC's Philadelphia Office Release No.:2020-45
Published date grouping:February 2020 Date: Headline: SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors Release No.:2020-44
Published date grouping:February 2020 Date: Headline: SEC Charges Wells Fargo In Connection With Investment Recommendation Practices Release No.:2020-43
Published date grouping:February 2020 Date: Headline: Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering Release No.:2020-42
Published date grouping:February 2020 Date: Headline: G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC Release No.:2020-41
Published date grouping:February 2020 Date: Headline: EVENT POSTPONED: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2020-40
Published date grouping:February 2020 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-39
Published date grouping:February 2020 Date: Headline: Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit Release No.:2020-38
Published date grouping:February 2020 Date: Headline: ICO Issuer Settles SEC Registration Charges, Agrees to Return Funds and Register Tokens As Securities Release No.:2020-37
Published date grouping:February 2020 Date: Headline: SEC Charges Global Alcohol Producer with Disclosure Failures Release No.:2020-36
Published date grouping:February 2020 Date: Headline: SEC Charges Real Estate Company and Executives With Defrauding Retail Investors, Obtains Emergency Relief Release No.:2020-35
Published date grouping:February 2020 Date: Headline: SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data Release No.:2020-34
Published date grouping:February 2020 Date: Headline: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2020-33
Published date grouping:February 2020 Date: Headline: SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians Release No.:2020-32
Published date grouping:February 2020 Date: Headline: Paul A. Montoya Named Associate Regional Director in Chicago Office Release No.:2020-31
Published date grouping:February 2020 Date: Headline: SEC Investor Advisory Committee to Meet on Feb. 27 Release No.:2020-30
Published date grouping:February 2020 Date: Headline: ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs Release No.:2020-29
Published date grouping:February 2020 Date: Headline: SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-28
Published date grouping:February 2020 Date: Headline: SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme Release No.:2020-27
Published date grouping:January 2020 Date: Headline: SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors Release No.:2020-26
Published date grouping:January 2020 Date: Headline: SEC Proposes Amendments to Modernize and Enhance Financial Disclosures Release No.:2020-25
Published date grouping:January 2020 Date: Headline: Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule Release No.:2020-24
Published date grouping:January 2020 Date: Headline: SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee Release No.:2020-23
Published date grouping:January 2020 Date: Headline: SEC Names Ray McInerney as Freedom of Information Act Officer Release No.:2020-22
Published date grouping:January 2020 Date: Headline: SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund Release No.:2020-21
Published date grouping:January 2020 Date: Headline: SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices Release No.:2020-20
Published date grouping:January 2020 Date: Headline: SEC Publishes Annual Reports on Credit Rating Agencies Release No.:2020-19
Published date grouping:January 2020 Date: Headline: SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme Release No.:2020-18
Published date grouping:January 2020 Date: Headline: Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud Release No.:2020-16
Published date grouping:January 2020 Date: Headline: SEC Awards Whistleblowers Whose Information Helped Stop Fraud Release No.:2020-15
Published date grouping:January 2020 Date: Headline: SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company Release No.:2020-14
Published date grouping:January 2020 Date: Headline: SEC to Report on State of Small Business Capital Formation in the U.S. Release No.:2020-13
Published date grouping:January 2020 Date: Headline: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity Release No.:2020-12
Published date grouping:January 2020 Date: Headline: Austin Gerig Named as SEC’s Chief Data Officer Release No.:2020-11
Published date grouping:January 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme Release No.:2020-10
Published date grouping:January 2020 Date: Headline: SEC Names Allen Blume as Deputy Chief Financial Officer Release No.:2020-9
Published date grouping:January 2020 Date: Headline: SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources Release No.:2020-8
Published date grouping:January 2020 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2020 Release No.:2020-7
Published date grouping:January 2020 Date: Headline: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee Release No.:2020-6
Published date grouping:January 2020 Date: Headline: SEC Proposes Improvements to Governance of Market Data Plans Release No.:2020-5
Published date grouping:January 2020 Date: Headline: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities Release No.:2020-4
Published date grouping:January 2020 Date: Headline: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting Release No.:2020-3
Published date grouping:January 2020 Date: Headline: Longfin CEO Settles Fraud Action Release No.:2020-2
Published date grouping:January 2020 Date: Headline: SEC Charges Six Individuals in International Microcap Fraud Schemes Release No.:2020-1
Published date grouping:December 2019 Date: Headline: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules Release No.:2019-276
Published date grouping:December 2019 Date: Headline: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 30 Years of Public Service Release No.:2019-275
Published date grouping:December 2019 Date: Headline: SEC Charges Recidivist Investment Adviser With Defrauding Retirees Release No.:2019-274
Published date grouping:December 2019 Date: Headline: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion Release No.:2019-273
Published date grouping:December 2019 Date: Headline: Small Business Advocate Releases First Annual Report Release No.:2019-272
Published date grouping:December 2019 Date: Headline: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community Release No.:2019-271
Published date grouping:December 2019 Date: Headline: SEC Names David Bottom as Chief Information Officer Release No.:2019-270
Published date grouping:December 2019 Date: Headline: MetLife to Pay $10 Million for Longstanding Internal Control Failures Release No.:2019-269
Published date grouping:December 2019 Date: Headline: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer Release No.:2019-268
Published date grouping:December 2019 Date: Headline: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens Release No.:2019-267
Published date grouping:December 2019 Date: Headline: SEC Approves 2020 PCAOB Budget and Accounting Support Fee Release No.:2019-266
Published date grouping:December 2019 Date: Headline: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments Release No.:2019-265
Published date grouping:December 2019 Date: Headline: SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules Release No.:2019-264
Published date grouping:December 2019 Date: Headline: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime Release No.:2019-263
Published date grouping:December 2019 Date: Headline: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2019-262
Published date grouping:December 2019 Date: Headline: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring Release No.:2019-261
Published date grouping:December 2019 Date: Headline: SEC Charges Former Goldman Sachs Executive With FCPA Violations Release No.:2019-260
Published date grouping:December 2019 Date: Headline: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO Release No.:2019-259
Published date grouping:December 2019 Date: Headline: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud Release No.:2019-258
Published date grouping:December 2019 Date: Headline: Former Congressman and Two Others Settle Insider Trading Charges Release No.:2019-257
Published date grouping:December 2019 Date: Headline: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs Release No.:2019-256
Published date grouping:December 2019 Date: Headline: SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter Release No.:2019-255
Published date grouping:December 2019 Date: Headline: SEC Charges Multinational Telecommunications Company With FCPA Violations Release No.:2019-254
Published date grouping:December 2019 Date: Headline: SEC Charges Trucking Executives With Accounting Fraud Release No.:2019-253
Published date grouping:December 2019 Date: Headline: SEC Releases Report on 38th Annual Small Business Forum Release No.:2019-252
Published date grouping:December 2019 Date: Headline: SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud Release No.:2019-251
Published date grouping:December 2019 Date: Headline: SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-250
Published date grouping:December 2019 Date: Headline: SEC Names Paul Munter as Deputy Chief Accountant Release No.:2019-249
Published date grouping:December 2019 Date: Headline: SEC Names John Vanosdall as Deputy Chief Accountant Release No.:2019-248
Published date grouping:December 2019 Date: Headline: Kristina Littman Named Chief of the Cyber Unit Release No.:2019-247
Published date grouping:November 2019 Date: Headline: Chief Administrative Law Judge Brenda Murray to Retire Release No.:2019-246
Published date grouping:November 2019 Date: Headline: SEC Halts Penny Stock Scheme Targeting Seniors Release No.:2019-245
Published date grouping:November 2019 Date: Headline: SEC Revokes Registration of Adviser Engaged in $60 Million Fraud Release No.:2019-244
Published date grouping:November 2019 Date: Headline: SEC Charges Biotech Company and Executives With Accounting Fraud Release No.:2019-243
Published date grouping:November 2019 Date: Headline: SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies Release No.:2019-242
Published date grouping:November 2019 Date: Headline: SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud Release No.:2019-241
Published date grouping:November 2019 Date: Headline: SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets Release No.:2019-240
Published date grouping:November 2019 Date: Headline: SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners Release No.:2019-239
Published date grouping:November 2019 Date: Headline: SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud Release No.:2019-238
Published date grouping:November 2019 Date: Headline: Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis Release No.:2019-237
Published date grouping:November 2019 Date: Headline: SEC Wins Jury Trial in Layering, Manipulative Trading Case Release No.:2019-236
Published date grouping:November 2019 Date: Headline: SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-235
Published date grouping:November 2019 Date: Headline: SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community Release No.:2019-234
Published date grouping:November 2019 Date: Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019 Release No.:2019-233
Published date grouping:November 2019 Date: Headline: SEC Proposes Amendments to Modernize Shareholder Proposal Rule Release No.:2019-232
Published date grouping:November 2019 Date: Headline: SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice Release No.:2019-231
Published date grouping:November 2019 Date: Headline: SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers Release No.:2019-230
Published date grouping:November 2019 Date: Headline: SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions Release No.:2019-229
Published date grouping:November 2019 Date: Headline: SEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets Release No.:2019-228
Published date grouping:November 2019 Date: Headline: SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints Release No.:2019-227
Published date grouping:October 2019 Date: Headline: SEC Charges International Dealer That Sold Security-Based Swaps to U.S. Investors Release No.:2019-226
Published date grouping:October 2019 Date: Headline: SEC Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-225
Published date grouping:October 2019 Date: Headline: SEC to Host Veterans Day Program for Active Duty Service Members and Veterans Release No.:2019-224
Published date grouping:October 2019 Date: Headline: Natasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program Release No.:2019-223
Published date grouping:October 2019 Date: Headline: SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud Release No.:2019-222
Published date grouping:October 2019 Date: Headline: U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network Release No.:2019-221
Published date grouping:October 2019 Date: Headline: SEC Investor Advisory Committee to Meet on Nov. 7 Release No.:2019-220
Published date grouping:October 2019 Date: Headline: SEC Proposes Amendments to Exemptive Applications Procedures Release No.:2019-219
Published date grouping:October 2019 Date: Headline: SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs Release No.:2019-218
Published date grouping:October 2019 Date: Headline: SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities Release No.:2019-217
Published date grouping:October 2019 Date: Headline: SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme Release No.:2019-216
Published date grouping:October 2019 Date: Headline: SEC Promotes Teacher Investment Outreach Release No.:2019-215
Published date grouping:October 2019 Date: Headline: Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs Release No.:2019-214
Published date grouping:October 2019 Date: Headline: Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service Release No.:2019-213
Published date grouping:October 2019 Date: Headline: SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering Release No.:2019-212
Published date grouping:October 2019 Date: Headline: SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB Release No.:2019-211
Published date grouping:October 2019 Date: Headline: PCAOB Board Member Kathleen Hamm to Complete Term Release No.:2019-210
Published date grouping:October 2019 Date: Headline: SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud Release No.:2019-209
Published date grouping:October 2019 Date: Headline: SEC Announces the Formation of Asset Management Advisory Committee Release No.:2019-208
Published date grouping:October 2019 Date: Headline: Agencies Finalize Changes to Simplify Volcker Rule Release No.:2019-207
Published date grouping:October 2019 Date: Headline: SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office Release No.:2019-206
Published date grouping:October 2019 Date: Headline: SEC Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case Release No.:2019-205
Published date grouping:October 2019 Date: Headline: SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure Release No.:2019-204
Published date grouping:October 2019 Date: Headline: SEC’s Message for 2019 World Investor Week: Start Early Release No.:2019-203
Published date grouping:September 2019 Date: Headline: SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO Release No.:2019-202
Published date grouping:September 2019 Date: Headline: SEC Charges Hedge Fund Adviser and Top Executives With Fraud Release No.:2019-201
Published date grouping:September 2019 Date: Headline: SEC Orders an Additional 16 Self-Reporting Advisory Firms to Pay Nearly $10 Million to Investors Release No.:2019-200
Published date grouping:September 2019 Date: Headline: Two BMO Advisory Firms Pay Over $37 Million to Harmed Clients for Failing to Disclose Conflicts of Interest Release No.:2019-199
Published date grouping:September 2019 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-198
Published date grouping:September 2019 Date: Headline: SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations Release No.:2019-197
Published date grouping:September 2019 Date: Headline: Automaker to Pay $40 Million for Misleading Investors Release No.:2019-196
Published date grouping:September 2019 Date: Headline: Herbalife to Pay $20 Million for Misleading Investors Release No.:2019-195
Published date grouping:September 2019 Date: Headline: Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen Release No.:2019-194
Published date grouping:September 2019 Date: Headline: SEC Charges Marketing and Printing Services Provider with FCPA Violations Release No.:2019-193
Published date grouping:September 2019 Date: Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-192
Published date grouping:September 2019 Date: Headline: SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options Release No.:2019-191
Published date grouping:September 2019 Date: Headline: SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds Release No.:2019-190
Published date grouping:September 2019 Date: Headline: SEC Proposes Amendments to Enhance Retail Investor Protections Release No.:2019-189
Published date grouping:September 2019 Date: Headline: SEC Adopts New Rule to Allow All Issuers to “Test-the-Waters” Release No.:2019-188
Published date grouping:September 2019 Date: Headline: SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information Release No.:2019-187
Published date grouping:September 2019 Date: Headline: SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud Release No.:2019-186
Published date grouping:September 2019 Date: Headline: SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes Release No.:2019-185
Published date grouping:September 2019 Date: Headline: SEC Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct Release No.:2019-184
Published date grouping:September 2019 Date: Headline: SEC Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits Release No.:2019-183
Published date grouping:September 2019 Date: Headline: SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank Release No.:2019-182
Published date grouping:September 2019 Date: Headline: SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity Release No.:2019-181
Published date grouping:September 2019 Date: Headline: SEC Halts Alleged $125 Million Offering Fraud Release No.:2019-180
Published date grouping:September 2019 Date: Headline: SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants Release No.:2019-179
Published date grouping:September 2019 Date: Headline: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors Release No.:2019-178
Published date grouping:September 2019 Date: Headline: Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2019-177
Published date grouping:September 2019 Date: Headline: SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential Release No.:2019-176
Published date grouping:September 2019 Date: Headline: SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations Release No.:2019-175
Published date grouping:September 2019 Date: Headline: James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service Release No.:2019-174
Published date grouping:September 2019 Date: Headline: SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan Release No.:2019-173
Published date grouping:September 2019 Date: Headline: Chandler Smith Costello Named Deputy Director for Public Affairs Release No.:2019-172
Published date grouping:September 2019 Date: Headline: SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies Release No.:2019-171
Published date grouping:September 2019 Date: Headline: SEC Names Monique Winkler as Associate Regional Director in San Francisco Office Release No.:2019-170
Published date grouping:August 2019 Date: Headline: SEC Monitoring Impact of Hurricane Dorian on Capital Markets Release No.:2019-169
Published date grouping:August 2019 Date: Headline: SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal Release No.:2019-168
Published date grouping:August 2019 Date: Headline: SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players Release No.:2019-167
Published date grouping:August 2019 Date: Headline: SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme Release No.:2019-166
Published date grouping:August 2019 Date: Headline: SEC Awards More Than $1.8 Million to Whistleblower Release No.:2019-165
Published date grouping:August 2019 Date: Headline: SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange Release No.:2019-164
Published date grouping:August 2019 Date: Headline: SEC Investor Advisory Committee to Meet on Sept. 19 Release No.:2019-163
Published date grouping:August 2019 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud Release No.:2019-162
Published date grouping:August 2019 Date: Headline: RSM US LLP Charged With Violating Auditor Independence Rules Release No.:2019-161
Published date grouping:August 2019 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2020 Release No.:2019-160
Published date grouping:August 2019 Date: Headline: SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme Release No.:2019-159
Published date grouping:August 2019 Date: Headline: SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice Release No.:2019-158
Published date grouping:August 2019 Date: Headline: SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets Release No.:2019-157
Published date grouping:August 2019 Date: Headline: SEC Charges TherapeuticsMD With Regulation FD Violations Release No.:2019-156
Published date grouping:August 2019 Date: Headline: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs Release No.:2019-155
Published date grouping:August 2019 Date: Headline: SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors Release No.:2019-154
Published date grouping:August 2019 Date: Headline: SEC Releases Videos for Investors on Choosing and Working with a Financial Professional Release No.:2019-153
Published date grouping:August 2019 Date: Headline: SEC Wins Jury Trial Against Broker Charged with Insider Trading Release No.:2019-152
Published date grouping:August 2019 Date: Headline: SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors Release No.:2019-151
Published date grouping:August 2019 Date: Headline: SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme Release No.:2019-150
Published date grouping:August 2019 Date: Headline: SEC Charges Investment Banking Analyst with Insider Trading Release No.:2019-149
Published date grouping:August 2019 Date: Headline: SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K Release No.:2019-148
Published date grouping:August 2019 Date: Headline: SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5 Release No.:2019-147
Published date grouping:August 2019 Date: Headline: SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha Release No.:2019-146
Published date grouping:August 2019 Date: Headline: SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2019-145
Published date grouping:August 2019 Date: Headline: SEC Chairman Clayton Announces Event for Main Street Investors in Chicago Release No.:2019-144
Published date grouping:August 2019 Date: Headline: SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud Release No.:2019-143
Published date grouping:July 2019 Date: Headline: Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service Release No.:2019-142
Published date grouping:July 2019 Date: Headline: SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-141
Published date grouping:July 2019 Date: Headline: Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data Release No.:2019-140
Published date grouping:July 2019 Date: Headline: Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets Release No.:2019-139
Published date grouping:July 2019 Date: Headline: SEC Awards Half-Million Dollars to Overseas Whistleblower Release No.:2019-138
Published date grouping:July 2019 Date: Headline: SEC Charges Engine Manufacturing Company Executives With Accounting Fraud Release No.:2019-137
Published date grouping:July 2019 Date: Headline: SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors Release No.:2019-136
Published date grouping:July 2019 Date: Headline: SEC Charges Portfolio Manager with Mispricing Fund Investments Release No.:2019-135
Published date grouping:July 2019 Date: Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-134
Published date grouping:July 2019 Date: Headline: Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million Release No.:2019-133
Published date grouping:July 2019 Date: Headline: SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments Release No.:2019-132
Published date grouping:July 2019 Date: Headline: Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges Release No.:2019-131
Published date grouping:July 2019 Date: Headline: SEC Charges Securities Lawyer and Microcap Agent with Fraud Release No.:2019-130
Published date grouping:July 2019 Date: Headline: SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR Release No.:2019-129
Published date grouping:July 2019 Date: Headline: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets Release No.:2019-128
Published date grouping:July 2019 Date: Headline: SEC Investor Advisory Committee to Meet on July 25 Release No.:2019-127
Published date grouping:July 2019 Date: Headline: SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme Release No.:2019-126
Published date grouping:July 2019 Date: Headline: CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products Release No.:2019-125
Published date grouping:July 2019 Date: Headline: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule Release No.:2019-124
Published date grouping:July 2019 Date: Headline: SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-123
Published date grouping:July 2019 Date: Headline: Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC Release No.:2019-122
Published date grouping:July 2019 Date: Headline: Allison Herren Lee Sworn In As SEC Commissioner Release No.:2019-121
Published date grouping:July 2019 Date: Headline: SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products Release No.:2019-120
Published date grouping:July 2019 Date: Headline: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency Release No.:2019-119
Published date grouping:July 2019 Date: Headline: SEC Names Sagar Teotia As Chief Accountant Release No.:2019-118
Published date grouping:July 2019 Date: Headline: SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Release No.:2019-117
Published date grouping:July 2019 Date: Headline: SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month Release No.:2019-116
Published date grouping:July 2019 Date: Headline: SEC Charges Investment Adviser With Fraud Release No.:2019-115
Published date grouping:June 2019 Date: Headline: State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses Release No.:2019-114
Published date grouping:June 2019 Date: Headline: SEC Charges New Defendant in $43 Million Tribal Bonds Scheme Release No.:2019-113
Published date grouping:June 2019 Date: Headline: Chairman Clayton Highlights New Members of Executive Staff Release No.:2019-112
Published date grouping:June 2019 Date: Headline: SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs Release No.:2019-111
Published date grouping:June 2019 Date: Headline: SEC Names Bryan Wood as Deputy Chief of Staff Release No.:2019-110
Published date grouping:June 2019 Date: Headline: SEC Names Sean Memon as Chief of Staff Release No.:2019-109
Published date grouping:June 2019 Date: Headline: SEC Chief of Staff Lucas Moskowitz to Leave the Agency Release No.:2019-108
Published date grouping:June 2019 Date: Headline: SEC Names Vanessa Countryman to Lead the Office of the Secretary Release No.:2019-107
Published date grouping:June 2019 Date: Headline: Joint Statement on Opportunistic Strategies in the Credit Derivatives Market Release No.:2019-106
Published date grouping:June 2019 Date: Headline: SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers Release No.:2019-105
Published date grouping:June 2019 Date: Headline: SEC Wins Jury Trial Against Broker Charged With Defrauding Customers Release No.:2019-104
Published date grouping:June 2019 Date: Headline: SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors Release No.:2019-103
Published date grouping:June 2019 Date: Headline: Walmart Charged With FCPA Violations Release No.:2019-102
Published date grouping:June 2019 Date: Headline: SEC Freezes Assets in International Manipulative Trading Scheme Release No.:2019-101
Published date grouping:June 2019 Date: Headline: SEC Chairman Clayton Announces Events for Main Street Investors in Boston Release No.:2019-100
Published date grouping:June 2019 Date: Headline: Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs Release No.:2019-99
Published date grouping:June 2019 Date: Headline: SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision Release No.:2019-98
Published date grouping:June 2019 Date: Headline: SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions Release No.:2019-97
Published date grouping:June 2019 Date: Headline: SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management Release No.:2019-96
Published date grouping:June 2019 Date: Headline: KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams Release No.:2019-95
Published date grouping:June 2019 Date: Headline: Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs Release No.:2019-94
Published date grouping:June 2019 Date: Headline: SEC Announces 2019 Government-Business Forum to Be Held in Omaha Release No.:2019-93
Published date grouping:June 2019 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-92
Published date grouping:June 2019 Date: Headline: David Peavler Named Director of Fort Worth Office Release No.:2019-91
Published date grouping:June 2019 Date: Headline: SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant Release No.:2019-90
Published date grouping:June 2019 Date: Headline: SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals Release No.:2019-89
Published date grouping:June 2019 Date: Headline: Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2019-88
Published date grouping:June 2019 Date: Headline: SEC Charges Issuer With Conducting $100 Million Unregistered ICO Release No.:2019-87
Published date grouping:June 2019 Date: Headline: Hedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets Release No.:2019-86
Published date grouping:June 2019 Date: Headline: SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members Release No.:2019-85
Published date grouping:June 2019 Date: Headline: SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House Release No.:2019-84
Published date grouping:June 2019 Date: Headline: Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities Release No.:2019-83
Published date grouping:June 2019 Date: Headline: SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2019-82
Published date grouping:June 2019 Date: Headline: SEC Awards $3 Million to Joint Whistleblowers Release No.:2019-81
Published date grouping:May 2019 Date: Headline: Sagar Teotia Named the SEC's Acting Chief Accountant Release No.:2019-80
Published date grouping:May 2019 Date: Headline: Wesley R. Bricker, Chief Accountant, to Leave SEC Release No.:2019-79
Published date grouping:May 2019 Date: Headline: Erin Schneider Named Director of San Francisco Office Release No.:2019-78
Published date grouping:May 2019 Date: Headline: SEC Charges Investment Adviser With Fraud Release No.:2019-77
Published date grouping:May 2019 Date: Headline: SEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action Release No.:2019-76
Published date grouping:May 2019 Date: Headline: SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation Release No.:2019-75
Published date grouping:May 2019 Date: Headline: SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches Release No.:2019-74
Published date grouping:May 2019 Date: Headline: SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme Release No.:2019-73
Published date grouping:May 2019 Date: Headline: SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors Release No.:2019-72
Published date grouping:May 2019 Date: Headline: SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement Release No.:2019-71
Published date grouping:May 2019 Date: Headline: Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud Release No.:2019-70
Published date grouping:May 2019 Date: Headline: SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements Release No.:2019-69
Published date grouping:May 2019 Date: Headline: SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions Release No.:2019-68
Published date grouping:May 2019 Date: Headline: SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend Release No.:2019-67
Published date grouping:May 2019 Date: Headline: SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud Release No.:2019-66
Published date grouping:May 2019 Date: Headline: SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses Release No.:2019-65
Published date grouping:May 2019 Date: Headline: Adam S. Aderton Named Co-Chief of the Asset Management Unit Release No.:2019-64
Published date grouping:April 2019 Date: Headline: SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week Release No.:2019-63
Published date grouping:April 2019 Date: Headline: SEC Announces Fraud Charges in Ticket Resale Investment Scam Release No.:2019-62
Published date grouping:April 2019 Date: Headline: SEC Announces Members of Small Business Capital Formation Advisory Committee Release No.:2019-61
Published date grouping:April 2019 Date: Headline: SEC Charges Truckload Freight Company With Accounting Fraud Release No.:2019-60
Published date grouping:April 2019 Date: Headline: SEC Staff Announces Agenda for May 31 FinTech Forum Release No.:2019-59
Published date grouping:April 2019 Date: Headline: Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors Release No.:2019-58
Published date grouping:April 2019 Date: Headline: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019 Release No.:2019-57
Published date grouping:April 2019 Date: Headline: Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management Release No.:2019-56
Published date grouping:April 2019 Date: Headline: SEC Charges Former Woodbridge Directors of Investment With Fraud Release No.:2019-55
Published date grouping:April 2019 Date: Headline: SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-54
Published date grouping:April 2019 Date: Headline: SEC Charges Former SeaWorld Associate General Counsel With Insider Trading Release No.:2019-53
Published date grouping:April 2019 Date: Headline: New SEC Campaign Educates Investors on Where and How to Get Answers Release No.:2019-52
Published date grouping:April 2019 Date: Headline: SEC Charges Transportation Company Executives With Accounting Fraud Release No.:2019-51
Published date grouping:April 2019 Date: Headline: SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors Release No.:2019-50
Published date grouping:April 2019 Date: Headline: Are You Prepared for Your Financial Future? Use the SEC’s Investor Preparedness Checklist to Find Out Release No.:2019-49
Published date grouping:March 2019 Date: Headline: SEC Charges Medical Device Company With FCPA Violations Release No.:2019-48
Published date grouping:March 2019 Date: Headline: The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements Release No.:2019-47
Published date grouping:March 2019 Date: Headline: SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors Release No.:2019-46
Published date grouping:March 2019 Date: Headline: Investment Adviser Charged With Stealing Millions From Private Fund Release No.:2019-45
Published date grouping:March 2019 Date: Headline: SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients Release No.:2019-44
Published date grouping:March 2019 Date: Headline: SEC Names Danae M. Serrano as Ethics Counsel Release No.:2019-43
Published date grouping:March 2019 Date: Headline: SEC Awards $50 Million to Two Whistleblowers Release No.:2019-42
Published date grouping:March 2019 Date: Headline: SEC Names Jeffrey Dinwoodie Senior Counsel and Policy Advisor for Market and Activities-Based Risk Release No.:2019-41
Published date grouping:March 2019 Date: Headline: Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs Release No.:2019-40
Published date grouping:March 2019 Date: Headline: SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2019-39
Published date grouping:March 2019 Date: Headline: SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2019-38
Published date grouping:March 2019 Date: Headline: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office Release No.:2019-37
Published date grouping:March 2019 Date: Headline: SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client Release No.:2019-36
Published date grouping:March 2019 Date: Headline: SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets Release No.:2019-35
Published date grouping:March 2019 Date: Headline: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud Release No.:2019-34
Published date grouping:March 2019 Date: Headline: Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office Release No.:2019-33
Published date grouping:March 2019 Date: Headline: Wedbush Settles Failure to Supervise Charge Release No.:2019-32
Published date grouping:March 2019 Date: Headline: SEC Announces March 28 Meeting of Investor Advisory Committee Release No.:2019-31
Published date grouping:March 2019 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2019 Release No.:2019-30
Published date grouping:March 2019 Date: Headline: SEC Charges Lumber Liquidators With Fraud Release No.:2019-29
Published date grouping:March 2019 Date: Headline: SEC Share Class Initiative Returning More Than $125 Million to Investors Release No.:2019-28
Published date grouping:March 2019 Date: Headline: Mobile TeleSystems Settles FCPA Violations Release No.:2019-27
Published date grouping:March 2019 Date: Headline: BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements Release No.:2019-26
Published date grouping:March 2019 Date: Headline: SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker Release No.:2019-25
Published date grouping:February 2019 Date: Headline: SEC Names Gabriel Benincasa As Its First Chief Risk Officer Release No.:2019-24
Published date grouping:February 2019 Date: Headline: SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management and Cybersecurity Release No.:2019-23
Published date grouping:February 2019 Date: Headline: SEC Names Vanessa Countryman Acting Secretary Release No.:2019-22
Published date grouping:February 2019 Date: Headline: Brent J. Fields Named Associate Director in the Division of Investment Management Release No.:2019-21
Published date grouping:February 2019 Date: Headline: SEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis Release No.:2019-20
Published date grouping:February 2019 Date: Headline: SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors Release No.:2019-19
Published date grouping:February 2019 Date: Headline: Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant Release No.:2019-18
Published date grouping:February 2019 Date: Headline: SEC Names James P. McNamara as Chief Human Capital Officer Release No.:2019-17
Published date grouping:February 2019 Date: Headline: SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Release No.:2019-16
Published date grouping:February 2019 Date: Headline: Company Settles Unregistered ICO Charges After Self-Reporting to SEC Release No.:2019-15
Published date grouping:February 2019 Date: Headline: SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers Release No.:2019-14
Published date grouping:February 2019 Date: Headline: SEC Files Charges in Elaborate Microcap Stock Fraud Release No.:2019-13
Published date grouping:February 2019 Date: Headline: SEC Charges Cognizant and Two Former Executives With FCPA Violations Release No.:2019-12
Published date grouping:February 2019 Date: Headline: SEC Extends Comment Period for Rulemaking Proposal Regarding Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Release No.:2019-11
Published date grouping:February 2019 Date: Headline: SEC Charges Former Senior Attorney at Apple With Insider Trading Release No.:2019-10
Published date grouping:February 2019 Date: Headline: Deloitte Japan Charged With Violating Auditor Independence Rules Release No.:2019-9
Published date grouping:February 2019 Date: Headline: SEC Charges Founder of Online Gaming Company With Defrauding Investors Release No.:2019-8
Published date grouping:February 2019 Date: Headline: Elizabeth McFadden Named Deputy General Counsel Release No.:2019-7
Published date grouping:January 2019 Date: Headline: SEC Charges Four Public Companies With Longstanding ICFR Failures Release No.:2019-6
Published date grouping:January 2019 Date: Headline: SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail Release No.:2019-5
Published date grouping:January 2019 Date: Headline: Shamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency Release No.:2019-4
Published date grouping:January 2019 Date: Headline: Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors Release No.:2019-3
Published date grouping:January 2019 Date: Headline: SEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud Release No.:2019-2
Published date grouping:January 2019 Date: Headline: SEC Brings Charges in EDGAR Hacking Case Release No.:2019-1
Published date grouping:December 2018 Date: Headline: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs Release No.:2018-306
Published date grouping:December 2018 Date: Headline: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule Release No.:2018-305
Published date grouping:December 2018 Date: Headline: Martha Miller Named Advocate for Small Business Capital Formation Release No.:2018-304
Published date grouping:December 2018 Date: Headline: Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations Release No.:2018-303
Published date grouping:December 2018 Date: Headline: SEC Charges Audit Firm and Suspends Accountants for Deficient Audits Release No.:2018-302
Published date grouping:December 2018 Date: Headline: SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions Release No.:2018-301
Published date grouping:December 2018 Date: Headline: SEC Charges Two Robo-Advisers With False Disclosures Release No.:2018-300
Published date grouping:December 2018 Date: Headline: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities Release No.:2018-299
Published date grouping:December 2018 Date: Headline: SEC Adopts Transaction Fee Pilot for NMS Stocks Release No.:2018-298
Published date grouping:December 2018 Date: Headline: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A Release No.:2018-297
Published date grouping:December 2018 Date: Headline: SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors Release No.:2018-296
Published date grouping:December 2018 Date: Headline: SEC Proposes Rule Changes for Fund of Funds Arrangements Release No.:2018-295
Published date grouping:December 2018 Date: Headline: SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2018-294
Published date grouping:December 2018 Date: Headline: SEC Adopts Rule of Practice 194 Release No.:2018-293
Published date grouping:December 2018 Date: Headline: SEC Approves 2019 PCAOB Budget and Accounting Support Fee Release No.:2018-292
Published date grouping:December 2018 Date: Headline: SEC Adopts Final Rules for Disclosure of Hedging Policies Release No.:2018-291
Published date grouping:December 2018 Date: Headline: SEC Charges Former Panasonic Executives Release No.:2018-290
Published date grouping:December 2018 Date: Headline: SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition Release No.:2018-289
Published date grouping:December 2018 Date: Headline: Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations Release No.:2018-288
Published date grouping:December 2018 Date: Headline: SEC Solicits Public Comment on Earnings Releases and Quarterly Reports Release No.:2018-287
Published date grouping:December 2018 Date: Headline: Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service Release No.:2018-286
Published date grouping:December 2018 Date: Headline: BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs Release No.:2018-285
Published date grouping:December 2018 Date: Headline: Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement Release No.:2018-284
Published date grouping:December 2018 Date: Headline: SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme Release No.:2018-283
Published date grouping:December 2018 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2018-282
Published date grouping:December 2018 Date: Headline: Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service Release No.:2018-281
Published date grouping:December 2018 Date: Headline: Executives Settle ICO Scam Charges Release No.:2018-280
Published date grouping:December 2018 Date: Headline: Three Developers Settle Charges of Fraudulent EB-5 Offering Release No.:2018-279
Published date grouping:December 2018 Date: Headline: SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official Release No.:2018-278
Published date grouping:December 2018 Date: Headline: SEC Charges The Hain Celestial Group with Internal Controls Failures Release No.:2018-277
Published date grouping:December 2018 Date: Headline: SEC Charges Agria Corporation and Executive Chairman With Fraud Release No.:2018-276
Published date grouping:December 2018 Da