Enforcement

AP-6471
AP-6470
AP-6472
IA-5117
Rulemaking petition on biomass and climate disclosures
Rulemaking petition on biomass and climate disclosures
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
34-85214
34-85216
LR-24412
LR-24413
34-85204
34-85217
34-85215
1359
Order Granting Applications by Nasdaq BX, Inc. and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Order Audit Trail System Rules In
Order Granting Applications by Nasdaq BX, Inc. and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Order Audit Trail System Rules In
Judgment
Judgment
Judgment
Judgement
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors
34-85202
34-85198
34-85199
34-85197
LR-24411
AP-6469
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
34-85192
34-85194
34-85195
34-85196
LR-24410
34-85193
34-85185
1358
1357
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
Judgment
Judgment
Other
Judgment
Judgment
Judgment
LR-24408

Rules & Regulations

Enforcement & Litigation

Compliance

Enforcement

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Enforcement