Recent SEC News

September 11, 2019

James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More

Full Article

September 09, 2019

SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan

Full Article

September 09, 2019

Chandler Smith Costello Named Deputy Director for Public Affairs

Full Article

September 04, 2019

SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Mana

Full Article

September 03, 2019

SEC Names Monique Winkler as Associate Regional Director in San Francisco Office

Full Article

August 30, 2019

SEC Monitoring Impact of Hurricane Dorian on Capital Markets

Full Article

August 29, 2019

SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal

Full Article

August 29, 2019

SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players

Full Article

August 29, 2019

SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme

Full Article

August 29, 2019

SEC Awards More Than $1.8 Million to Whistleblower

Full Article

August 29, 2019

SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and O

Full Article

August 29, 2019

SEC Investor Advisory Committee to Meet on Sept. 19

Full Article

August 27, 2019

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud

Full Article

August 27, 2019

RSM US LLP Charged With Violating Auditor Independence Rules

Full Article

August 23, 2019

Fee Rate Advisory #1 for Fiscal Year 2020

Full Article

August 21, 2019

SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

Full Article

August 21, 2019

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to V

Full Article

August 20, 2019

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital As

Full Article

August 20, 2019

SEC Charges TherapeuticsMD With Regulation FD Violations

Full Article

August 16, 2019

Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs

Full Article

August 15, 2019

SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors

Full Article

August 15, 2019

SEC Releases Videos for Investors on Choosing and Working with a Financial Professional

Full Article

August 14, 2019

SEC Wins Jury Trial Against Broker Charged with Insider Trading

Full Article

August 14, 2019

SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors

Full Article

August 13, 2019

SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Sch

Full Article

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Automat:ee

James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service already exists.

Entry updated

SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan already exists.

Entry updated

Chandler Smith Costello Named Deputy Director for Public Affairs already exists.

Entry updated

SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies already exists.

Entry updated

SEC Names Monique Winkler as Associate Regional Director in San Francisco Office already exists.

Entry updated

SEC Monitoring Impact of Hurricane Dorian on Capital Markets already exists.

Entry updated

SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal already exists.

Entry updated

SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players already exists.

Entry updated

SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme already exists.

Entry updated

SEC Awards More Than $1.8 Million to Whistleblower already exists.

Entry updated

SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange already exists.

Entry updated

SEC Investor Advisory Committee to Meet on Sept. 19 already exists.

Entry updated

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud already exists.

Entry updated

RSM US LLP Charged With Violating Auditor Independence Rules already exists.

Entry updated

Fee Rate Advisory #1 for Fiscal Year 2020 already exists.

Entry updated

SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme already exists.

Entry updated

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice already exists.

Entry updated

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets already exists.

Entry updated

SEC Charges TherapeuticsMD With Regulation FD Violations already exists.

Entry updated

Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs already exists.

Entry updated

SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors already exists.

Entry updated

SEC Releases Videos for Investors on Choosing and Working with a Financial Professional already exists.

Entry updated

SEC Wins Jury Trial Against Broker Charged with Insider Trading already exists.

Entry updated

SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors already exists.

Entry updated

SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme already exists.

Entry updated

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