Enforcement

LR-24334
AP-6282
AP-6288
AP-6287
AP-6286
AP-6285
AP-6284
AP-6283
34-84526
34-84525
1278
1277
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Amplify BlackSwan Growth & Treasury Core ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Amplify BlackSwan Growth & Treasury Core ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Division of Enforcement 2018 Annual Report
Judgment
Judgment
LR-24330
AP-6275
AP-6281
AP-6280
AP-6279
AP-6278
AP-6277
AP-6276
Natixis Funds Trust I, et al.
SEC Second Amended Complaint
SEC Amended Complaint
Judgment
Judgment
SEC Complaint
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Complaint
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Amended Complaint
SEC Complaint
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
34-84513
LR-24329
AP-6273
AP-6272
AP-6271
AP-6270
AP-6274
1276
1275
1274
Cushing Asset Management, LP and Cushing ETF Trust
Vident Advisory, LLC et al.
Cushing Asset Management, LP and Cushing ETF Trust
Order Determining Whistleblower Award Claim
Order Determining Whistleblower Award Claim
Order Determining Whistleblower Award Claim
Order Determining Whistleblower Award Claim
Request for rulemaking to amend the rule restricting speech that is set forth in 17 C.F.R. § 202.5(e) ("The Gag Rule")
Request for rulemaking to amend the rule restricting speech that is set forth in 17 C.F.R. § 202.5(e) ("The Gag Rule")
Judgment
Judgment
Judgment
Judgment
SEC Complaint
SEC Complaint
LR-24328
LR-24327
AP-6269
AP-6268
34-84501
Order Lifting the Automatic Stay of the Order Denying Applications by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for Confidential Treatment Pursuant to Rule 24b-2 under the Exchange Act for Material
34-84499
34-84500
LR-24326
AP-6267
AP-6266
AP-6265
AP-6264
1270
1273
1272
1271

Rules & Regulations

Enforcement & Litigation

Compliance

Enforcement

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Enforcement