Recent SEC News

May 21, 2019

SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investo

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May 20, 2019

SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of U

Full Article

May 15, 2019

Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud

Full Article

May 10, 2019

SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements

Full Article

May 09, 2019

SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Def

Full Article

May 07, 2019

SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend

Full Article

May 03, 2019

SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud

Full Article

May 03, 2019

SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses

Full Article

May 02, 2019

Adam S. Aderton Named Co-Chief of the Asset Management Unit

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April 30, 2019

SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off Nat

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April 29, 2019

SEC Announces Fraud Charges in Ticket Resale Investment Scam

Full Article

April 25, 2019

SEC Announces Members of Small Business Capital Formation Advisory Committee

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April 25, 2019

SEC Charges Truckload Freight Company With Accounting Fraud

Full Article

April 24, 2019

SEC Staff Announces Agenda for May 31 FinTech Forum

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April 19, 2019

Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors

Full Article

April 16, 2019

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

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April 15, 2019

Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management

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April 11, 2019

SEC Charges Former Woodbridge Directors of Investment With Fraud

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April 11, 2019

SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee

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April 09, 2019

SEC Charges Former SeaWorld Associate General Counsel With Insider Trading

Full Article

April 08, 2019

New SEC Campaign Educates Investors on Where and How to Get Answers

Full Article

April 03, 2019

SEC Charges Transportation Company Executives With Accounting Fraud

Full Article

April 02, 2019

SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors

Full Article

April 01, 2019

Are You Prepared for Your Financial Future? Use the SEC’s Investor Preparedness Checklist to Find Ou

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March 29, 2019

SEC Charges Medical Device Company With FCPA Violations

Full Article

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Found new entry: SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation

Found new entry: SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches

Found new entry: SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme

SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors already exists.

Entry updated

SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement already exists.

Entry updated

Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud already exists.

Entry updated

SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements already exists.

Entry updated

SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions already exists.

Entry updated

SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend already exists.

Entry updated

SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud already exists.

Entry updated

SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses already exists.

Entry updated

Adam S. Aderton Named Co-Chief of the Asset Management Unit already exists.

Entry updated

SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week already exists.

Entry updated

SEC Announces Fraud Charges in Ticket Resale Investment Scam already exists.

Entry updated

SEC Announces Members of Small Business Capital Formation Advisory Committee already exists.

Entry updated

SEC Charges Truckload Freight Company With Accounting Fraud already exists.

Entry updated

SEC Staff Announces Agenda for May 31 FinTech Forum already exists.

Entry updated

Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors already exists.

Entry updated

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019 already exists.

Entry updated

Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management already exists.

Entry updated

SEC Charges Former Woodbridge Directors of Investment With Fraud already exists.

Entry updated

SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee already exists.

Entry updated

SEC Charges Former SeaWorld Associate General Counsel With Insider Trading already exists.

Entry updated

New SEC Campaign Educates Investors on Where and How to Get Answers already exists.

Entry updated

SEC Charges Transportation Company Executives With Accounting Fraud already exists.

Entry updated

New entries: 3

Updated entries: 22

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