Latest from the SEC

Date Title Division/Office
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change to List and Trade Shares of the 21Shares Polkadot Trust under Nasdaq Rule 5711(d) Trading and Markets
Litigation Releases: Dharma Teja Nukarapu; SharkDreams, Inc.; D Dollar, Inc. Enforcement
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Related to Add/Remove Volume Tiers Trading and Markets
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Regarding Dedicated Cores Trading and Markets
SEC Obtains Final Judgment Against Massachusetts Resident in Multi-Million Dollar Securities Fraud Enforcement
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Regarding Dedicated Cores Trading and Markets
Litigation Releases: Cambridge Investment Research Advisors, Inc. Enforcement
Statement on Certain Proof-of-Work Mining Activities Corporation Finance
Litigation Releases: Norman V. Meier; Treuhand, Inc.; Windeco Corporation; Texxon Oil Corp.; International Financial Services, Inc. Enforcement
Opinions and Adjudicatory Orders: Michael James Ferguson Jr. Foreign Private Trust (Order Requesting Additional Briefing and Materials from the Parties) Enforcement
Commission Opinions and Adjudicatory Order: The Northgate Nobles Greenhouseabe Foreign Grantor Trust Enforcement
Administrative Proceedings: Scott J. Mason Enforcement
Investment Company Act Notice - North Haven Private Income Fund LLC, et al. Investment Management
Compliance and Disclosure Interpretations: Update Corporation Finance
Marketing Compliance Frequently Asked Questions Investment Management
Money Market Fund Statistics- Supporting Data, February 2025 Investment Management
Money Market Fund Statistics, February 2025 Investment Management
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (i) introduce a new fee credit under Equity 7, Section 118(a)(1) (Fees for Execution and Routing of Orders) and amend the f Trading and Markets
Commission Opinion and Adjudicatory Order - Dominic O'Dierno Enforcement
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Regarding Dedicated Cores Trading and Markets

Last Reviewed or Updated: April 12, 2024