What's New

Date Title Division/Office
Administrative Proceeding: WINDGEN ENERGY, INC. Enforcement
Open Meeting: September 18, 20204 Agency-Wide
Administrative Proceedings - Randolph Abrahams Enforcement
MEMX Rule Filing - 34-100999 Trading and Markets
Investment Company Act Order - Oaktree Strategic Credit Fund, et al. Investment Management
OCC Rule Filing - 34-100998 Trading and Markets
Commission Opinions and Adjudicatory Orders - Adam Mattessich Enforcement
Investment Company Act Order: CMFG Variable Annuity Account, et al. Investment Management
NYSEARCA Rule Filing - 34-100994 Trading and Markets
Litigation Release - Dishant Gupta Enforcement
NYSE Rule Filing - 34-100982 Trading and Markets
SEC Charges John Deere With FCPA Violations for Subsidiary’s Role in Thai Bribery Scheme Enforcement
BX Rule Filing - 34-100986 Trading and Markets
Investment Company Act Order: Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. Investment Management
MRX Rule Filing - 34-100990 Trading and Markets
ISE Rule Filing - 34-100991 Trading and Markets
Office Hours with Gary Gensler: AI Washing Agency-Wide
GEMX Rule Filing - 34-100992 Trading and Markets
Commission Opinions and Adjudicatory: Horter Investment Management, LLC; and Horter, Drew K. Enforcement
Litigation Release: Donald Anthony Wright; Retirement Specialty Group, Inc. Enforcement

Last Reviewed or Updated: June 28, 2024