Enforcement

SEC Complaint
Judgment
Judgment
Judgment
Judgment
34-85652
34-85653
34-85651
LR-24452
AP-6542
AP-6541
34-85648
34-85645
34-85641
Roundhill Financial LLC and Listed Funds Trust
Roundhill Financial LLC and Listed Funds Trust
34-85638
34-85640
LR-24450
LR-24451
AP-6539
AP-6540
34-85633
Order Granting Application by NYSE Chicago, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rule 6a-2 under the Exchange Act
Order Granting Application by NYSE Chicago, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rule 6a-2 under the Exchange Act
SEC Charges Former Woodbridge Directors of Investment With Fraud
34-85602
34-85630
LR-24449
34-85621
34-85619
34-85618
34-85615
34-85607
1372
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
34-85596
34-85599
34-85600
34-85601
LR-24447
LR-24448
AP-6538
34-85594
34-85583
34-85581
33-10627
34-85598
34-85595
O'Shaughnessy Asset Management, LLC, et al.
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
judgment
SEC Charges Former SeaWorld Associate General Counsel With Insider Trading
Judgment
Judgment
Judgment
IA-5220
34-85559
34-85569
LR-24446
AP-6537
34-85574
34-85570
34-85562
34-85558
34-85580
34-85575
Principal Diversified Select Income Fund, et al.
Precidian ETFs Trust, et al.
Lyft, Inc.
Principal Diversified Select Income Fund, Principal Diversified Select Real Asset Fund, and Principal Global Investors, LLC

Rules & Regulations

Enforcement & Litigation

Compliance

Enforcement

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Enforcement