Enforcement

34-83111
34-83110
IA-4898
Judgment
Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
34-83106
AP-5697
34-83099
33-10489
33-10488
33-10487
BMO Exchange Traded Funds, et al.
Aquila Funds Trust, et al.
Aberdeen Asset Management Inc., et al.
BMO Exchange Traded Funds, et al.
SEC Charges a New York-Based Investment Adviser for Breach of Fiduciary Duty
Judgment
SEC Action Lookup – Individuals
Altaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees To Pay $35 Million
Judgment
Judgement
LR-24121
AP-5696
AP-5695
AP-5694
IA-4896
33-10485
The Swiss Helvetia Fund, Inc., et al.
The Swiss Helvetia Fund, Inc., et al.
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
SEC Charges Dun & Bradstreet With FCPA Violations
LR-24118
LR-24119
LR-24120
AP-5693
AP-5692
34-83095
IA-4895
34-83090
IA-4894
34-83088
34-83087
mithibrihutohephecawicrupreswewristucleciprecreuudoswushotu
SEC Charges Additional Defendant in Fraudulent ICO Scheme
33-10483
33-10484
34-83084
LR-24117
AP-5691
AP-5690
AP-5689
AP-5688
IA-4890
34-83078
SEC Charges New Jersey-Based Company and Founder for Impermissible Association with Barred Auditor
34-83070
34-83069
34-83068
34-83067
1250
LR-24116
AP-5687
AP-5686
1249
Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates
Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates
IA-4887
LR-24115
AP-5685
34-83056
LR-24113
LR-24114
AP-5684
34-83052
34-83053
IA-4885
LR-24111
LR-24112
AP-5683
Order Granting Application by MIAX PEARL, 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 Rules Incorporated by Reference
Order Granting Application by MIAX PEARL, 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 Rules Incorporated by Reference
Order Determining Whistleblower Award Claim
Order Determining Whistleblower Award Claim
SEC Awards Whistleblower More Than $2.1 Million
34-83043
LR-24110

Rules & Regulations

Enforcement & Litigation

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Enforcement