What's New

Date Title Division/Office
Archer-Daniels-Midland Company; Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of... Agency-Wide
Archer-Daniels- Midland Company; Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
Administrative Proceeding - United Parcel Service, Inc. Enforcement
Litigation Release - Vikram Luthar Enforcement
Administrative Proceedings - Archer-Daniels-Midland Company, Vince Macciocchi, and Ray Young Enforcement
Litigation Release - Anil Mathews; Rahul Agarwal; Kenneth M. Harlan; and MobileFuse, LLC Enforcement
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud Enforcement
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule to Waive the Combined Cap on Floor Broker Credits Paid for QCC Trades and Rebates... Trading and Markets
Litigation Release - Shannon Illingworth and GP Solutions, Inc. Enforcement
Investment Company Act Notice: Carillon Series Trust and Carillon Tower Advisers, Inc. Investment Management
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) Trading and Markets
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 5050 (Series of Options Contracts Open for Trading) to Permit the Listing of up to Two Monday and Wednesday... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Exchange’s Rules to Enable the Trading of Securities on the Exchange in Tokenized Form Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 5.32-O and 5.35-O Related to Flexible Exchange Options Trading and Markets
Investment Company Act Notice - Investment Company Act Notice Investment Management
Litigation Release: Saeid Jaberian Enforcement
Commission Opinion and Adjudicatory Order - Huaizhong Health Group, Inc. Enforcement
Investment Company Act Order: Aristotle Pacific Enhanced CLO Income Fund and Aristotle Pacific Capital, LLC Investment Management
Investment Company Act Order: The RBB Fund Trust and Gladius Capital Management, LP Investment Management
Investment Company Act Order: RBC BlueBay Enhanced Income Fund and RBC Global Asset Management (U.S.) Inc. Investment Management