Enforcement

SEC Complaint
Information Regarding Trading Suspensions and COVID-19
Judgment
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SEC Amended Complaint
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34-88809
33-10782
34-88815
LR-24811
LR-24812
LR-24810
AP-6758
IA-5497
34-88808
Order Determining Whistleblower Award Claim
In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
Order Determining Whistleblower Award Claim
In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
Judgment
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SEC Complaint
Judgment
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SEC Amended Complaint
Judgment
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SEC Complaint
Judgment
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Judgment
SEC Awards Almost $2 Million to Whistleblower
34-88804
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Investor Advisory Committee Meeting
Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Investor Advisory Committee Meeting
Judgment
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SEC Complaint
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SEC Complaint
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34-88799
34-88796
34-88802
34-88801
34-88800
AP-6757
34-88797
34-88791
USCF Advisers LLC, et al.
USCF Advisers LLC, et al.
Judgment

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