Enforcement

34-89720
Blackrock ETF Trust III, et al.
BlackRock ETF Trust III, et al.
Order Determining Whistleblower Award Claim
Investor Advisory Committee Meeting
Order Determining Whistleblower Award Claim
Investor Advisory Committee Meeting
Judgment
Judgment
Judgment
Judgment
Public Alert: Unregistered Soliciting Entities (PAUSE) - Aug. 31, 2020
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
SEC Awards Over $1.25 Million to Whistleblower
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
34-89717
34-89715
LR-24879
LR-24880
34-89716
34-89714
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Notice of an application for an order under section 8(f) of the Investment Company Act of 1940 (the “Act”) declaring that the applicant has ceased to be an investment company
Spinnaker ETF Series, et al.
Spinnaker ETF Series, et al.
Morgan Stanley Direct Lending Fund, et al.
Judgment
Judgment
Judgment
Judgment
SEC Charges Ponzi Scheme Targeting African Immigrants
SEC Charges Herbalife With FCPA Violations
Judgment
34-89706
34-89709
34-89711
34-89708
34-89704
Asset Management Advisory Committee
Asset Management Advisory Committee
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Charges Transfer Agent with Violating Multiple Rules
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
U.S. Offshore Trading Administration
National Financial Market Regulatory Board
Global Securities and Trading Regulatory Commission
Financial Services Department
Federation Against Investor Fraud Committee
Judgment
34-89691
34-89689
LR-24878
IA-5566
34-89687
34-89697
34-89696
34-89695
34-89690
34-89688
34-89699
33-10828
34-89702
34-89701
34-89698
Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates
Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
SEC Charges BorgWarner for Materially Misstating its Financial Statements
Judgment
Central Trade & Financial Authority
Argentinian Securities Commission
Variant Trading
Stax Capital
Elite Investment
Corporate Consulting Group Inc.
Apexus Capital Investment
Green Knight Financial Services
Accrued Equities Inc.
SEC Complaint
Judgment
Varalen Capital Markets LLC
TwitXOptions
Tower Insurance Limited

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